NCS is a leader in the compliance and regulatory services industry with its hallmark focus on providing reliable, convenient, and reasonably priced products and services geared to the investment adviser and broker dealer communities. For currently registered firms, some of the many products and services NCS offers include on-site mock audits, branch office audits, off-site compliance reviews, web site reviews, customized compliance supervisory procedures manuals, WebCRD/IARD filing services, and our Compliance Assistance Program (CAP). This program is designed to allow the Adviser/Broker Dealer to work closely with a compliance consultant in structuring a compliance system that is appropriate for their specific regulatory needs.

As part of our CAP service, NCS offers an on-going compliance services on three different levels, each of which is designed to be pro-active as well as re-active. Our fees are dependent upon the level of service chosen. They are determined by the amount of time we estimate spending on your account and are based upon the complexity of your operations, the number of jurisdictions in which you are registered, the number of investment adviser representatives or registered representatives in your firm.

Our LEVEL ONE standard of service allows for up to 15 hours of consulting time per year and includes:

• NCS will act as the Service Bureau for your CRD account
• Prepare and file minor amendments to Form BD
• Review FOCUS filings
• Prepare and file annual renewals
• Prepare and file annual updates
• Routine telephone consultations initiated by the client relative to minor ongoing compliance matters
• Routine telephone consultations initiated by the client relative to FOCUS filing matters.
• As needed compliance conference calls, e-mails and/or notices initiated by NCS to explain new rules and or regulations as well as on-going compliance requirements

Our LEVEL TWO standard of service allows for up to 20 hours of consulting time per year and includes many ongoing compliance services. This level of service is suitable for the small broker-dealer firm and includes:

• Registration services for up to 20 registered persons. (The cost of registering additional persons varies.)
• NCS will act as the Service Bureau for your CRD account
• Prepare and file minor non-DRP amendments to Forms U4, U5, and BD
• Website pre-submission review
• Prepare and file annual license renewals
• Continuing education (CE) needs analysis
• Routine telephone consultations initiated by the client relative to minor ongoing compliance matters, including such issues as registration requirements for the firm and its representatives, as well as recordkeeping
• Alerts via e-mail regarding required periodic reports to regulators
• Review and comment on general inquiries made by FINRA / federal / state regulators
• Prepare and file new registrations and termination of representatives
• As needed compliance conference calls, e-mails, and / or notices initiated by NCS to explain new rules and/or regulations, as well as ongoing compliance requirements
• Review of compliance manual, as well as written policies and procedures
• Review and comment on advertising

Our LEVEL THREE package is our highest level of services and includes all of our LEVEL TWO services but up to 40 hours of consulting time annually plus an on-site visit. Our LEVEL THREE package is structured to handle most regulatory and compliance matters that may arise. LEVEL THREE is geared to the small to medium size broker-dealer firm.

*If you are a combined IA/BD we offer a 15% discount if you elect both of our IA and BD service agreements.

Questions regarding this service should be directed to Chad Jones at 561-330-7645 ext. 210 or via e-mail at chad@ncsonline.com.

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