RIA Ongoing Compliance

National Compliance Services (NCS) offers a variety of Compliance Assistance Programs specifically designed to allow you to work closely with our compliance consultants in tailoring a compliance program that is appropriate for your firm’s specific regulatory needs and compliant with your obligations as a Chief Compliance Officer under SEC Rule 206(4)-7.

NCS offers you the choice of any one of the following compliance programs; each Level consists of a fixed number of consulting hours, products, and services that are described more fully below. Under these Levels, NCS will act on your behalf where filing requirements are necessary and deadlines must be met. You can contact us by telephone, fax, or e-mail with any questions regarding advisory compliance at any time during the course of the year. Many advisers use this service both to resolve specific compliance issues/problems that arise in conducting their day-to-day business as well as to simply confirm conclusions already reached. NCS’ goal is to provide our clients the highest quality consulting service at a reasonable cost.

If you are unsure of which level of service is right for you please click on the Level Indicator link, then complete and submit the form. NCS will review your response and give you a call to discuss your options.

LEVEL 1

• NCS will act as the Service Bureau for your IARD account
• Prepare and file your annual renewal documents
• Prepare and file your annual updating amendment(s) (as required)
• Provide monthly checklist and newsletter to assist in satisfying the requirement to audit Policies and Procedures
• Web-based compliance seminars on relevant Investment Advisory issues
• 3 hours of consulting time

LEVEL 2

• NCS will act as the Service Bureau for your IARD account
• Prepare and file annual renewal documents
• Prepare and file annual updating amendment(s) (as required)
• Monthly Compliance Newsletter delivered via e-mail
• Provide monthly checklist and newsletter to assist in satisfying the requirement to audit Policies and Procedures
• Web-based compliance seminars on relevant Investment Advisory issues
• 8 hours of consulting time that can be used for:
   
  • Form ADV Review/Rewrite/Amendments as requested by client
  • Client Agreement Review/Comment on regulatory requirements
  • Customization of Written Policies and Procedures (model not included)
  • Website Review/Comment
  • Routine telephone consultations/ Projects and/or research initiated by client
  • Regulatory deficiency response letters
  • Notice filings or state registrations for the firm as requested by client
  • Registrations and terminations of IARs as requested by client

• Access to Document Library
• Storage and Backup of ADV, Contracts, Written Policies and Procedures
• Customized Compliance Center
• E-mails initiated by NCS to explain new rules and or regulations as well on-going compliance requirements

LEVEL 3

• NCS will act as the Service Bureau for your IARD account
• Prepare and file annual renewal documents
• Prepare and file annual updating amendment(s) (as required)
• Monthly Compliance Newsletter delivered via e-mail
• Monthly checklist and newsletter to assist in satisfying the requirement to audit Policies and Procedures
• Web-based compliance seminars on relevant Investment Advisory issues
• 11 hours of consulting time that can be used for:
  
  

  • Form ADV Review/Rewrite/Amendments as requested by client

  • Client Agreement Review/Comment on regulatory requirements

  • Website Review/Comment

  • Routine telephone consultations/ Projects and/or research initiated by client

  • Regulatory deficiency response letters

  • Notice filings or state registrations for the firm as requested by client

  • Registrations and terminations of IARs as requested by client
• Access to Document Library
• Storage and Backup of ADV, Contracts, Written Policies and Procedures
• Customized Compliance Calendar
• E-mails initiated by NCS to explain new rules and or regulations as well as on-going compliance requirements
• Compliance Officer’s Guide to Personal Liability on CD-ROM
• Plus choice of: Customized Written Policies and Procedures for basic RIA or Off-site Compliance Audit

LEVEL 4

• NCS will act as the Service Bureau for your IARD account
• Prepare and file annual renewal documents
• Prepare and file annual updating amendment(s) (as required)
• Monthly Compliance Newsletter delivered via e-mail
• Provide monthly checklist and newsletter to assist in satisfying the requirement to audit Policies and Procedures
• Web-based compliance seminars on relevant Investment Advisory issues
• 14 hours of consulting time that can be used for:
  
  

  • Form ADV Review/Rewrite/Amendments as requested by client

  • Client Agreement Review/Comment on regulatory requirements

  • Customization of Written Policies and Procedures (model not included)

  • Website Review/Comment

  • Routine telephone consultations/Projects and/or research initiated by client

  • Regulatory deficiency response letters

  • Notice filings or state registrations for the firm as requested by client

  • Registrations and terminations of IARs as requested by client

• Access to Document Library
• Storage and Backup of ADV, Contracts, Written Policies and Procedures
• Customized Compliance Calendar
• E-mails initiated by NCS to explain new rules and or regulations as well as on-going compliance requirements
• Compliance Officer’s Guide to Personal Liability
• Plus choice of:
  One Day On-site Audit (not including expenses) or  Unlimited Email/Telephone consulting

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

Top of Page

Return to Level 1

Return to Level 2

Return to Level 3

Return to Level 4

Contact Us