National Compliance Services, Inc.
About National Compliance Services, Inc.
Whether you need to register a new investment adviser or a broker-dealer; are a registered representative looking to transition to a fee-based platform; or are an established RIA or BD looking to outsource a portion of your compliance functions; selecting the right service provider is an important decision. National Compliance Services (NCS) offers hands-on and technology-powered solutions to help investment advisers and broker-dealers in today's complex and fast-paced business environment mitigate risks. They empower financial firms to meet today's rigorous compliance obligations.
At NCS, the services and capabilities include:
* Investment adviser registration
* Broker-dealer registration
* RIA compliance consulting
* Broker-dealer compliance consulting
* Breakaway broker transitions
* Hedge fund, mutual fund and private equity fund assistance
* Monthly online compliance checklists and webinars for policies and procedures audit
Visit https://www.ncsonline.com/ or call them at (561) 330-7645 to get more details.