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NRS: Your Industry Experts for Compliance

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NRS Can Help Tackle Your Toughest Regulatory Challenges

As the nation’s leader in compliance and registration products and services for financial services firms, NRS can help guide your compliance strategy, minimize risk and lower costs.

We have the practical expertise, proven capability and unparalleled solutions to deliver an integrated and effective compliance program, no matter what the challenge.

Through three interrelated offerings — comprehensive education, best-in-class technology and expert consulting services — we can be your compliance ally and help you navigate the complex maze of regulatory compliance.

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NRS is Focused Exclusively on the Financial Services Industry

For too many firms, critical compliance strategy, advice and processes are handled by various providers outside of the financial services industry. With over 30 years of experience in financial services compliance, NRS is an Industry leader with expertise in meeting SEC, State and FINRA regulations.

Today, over 7,000 clients rely on NRS to guide their compliance strategies and minimize risk, including:

Investment advisers

Broker-dealers

Hedge funds

Investment Companies

Private Funds

Insurance Institutions

NRS knows the critical challenges compliance professionals face and we have the proven solutions to help address them.

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Developed based on the knowledge and expertise of NRS’ consultants, NRS Product Solutions are tailored to meet the specific compliance needs of financial services firms. NRS provides turnkey solutions that can be used as compliance portals for your entire firm while streamlining workflow, tracing adherence, lowering costs and ensuring compliance.

ComplianceMAX™ — A powerful, customizable workflow engine composed of fully-integrated modules that help streamline compliance practices, automate workflows and better manage risk for your organization

NRS ComplianceGuardian™ — An integrated online solution offering a wealth of compliance services, tools, education and consulting, with a simple, user-friendly design, powerful alerts and reporting capabilities

Blue Sky Solution™ System — A Web-based tool to manage all of your Blue Sky filing responsibilities, including customizing workflow, calculating fees, scheduling renewals, tracking filings and generating powerful reports

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The Challenge

For busy broker-dealers, investment advisers and financial service firms, meeting a rapidly-changing regulatory environment, internally driven initiatives and increased compliance demands can be a daunting task.

The Solution

ComplianceMAX™ — Automate your workflow and gain a 360° view of your entire compliance program. With ComplianceMAX, you license only the modules that you need — address your entire program or only your most pressing compliance challenges:

Compliance Questionnaires and Attestations

Public Communications and Advertising Review

Form ADV Part 2B

Firm Element, Insurance Training and Annual Compliance Meetings

Audit Technology

Rep Insight (Registered Representative Registration and Licensing Management)

Customer Complaints Module

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The Challenge

Creating a compliance program that protects the firm’s reputation, increases efficiency and stays ahead of regulatory changes to reduce exposure to risk while also taking into account how your business operates and what specific regulatory requirements you must meet.

The Solution

NRS ComplianceGuardian™ — Take control of your compliance processes and begin building a culture of compliance in your firm by using ComplianceGuardian. Developed with NRS consulting expertise, this solution delivers a wealth of tools and information for establishing and maintaining your firm’s compliance program.

The essentials needed for your compliance program:

Written Policies and Procedures Manuals that are updated quarterly

Compliance Calendar and Task List that enable you to test your policies

Model Documents to assist in standardizing compliance tasks

Compliance News and Research Center to stay abreast of regulatory changes

RepTracker to track rep registrations, licenses and continuing education

Customize ComplianceGuardian for your firm with add-on modules:

Code of Ethics Module

Personal Securities Trading

Gifts and Entertainment

Political Contributions

Form ADV Architect

Monthly Compliance Program

Desktop Seminars

Consulting Assistance

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The Challenge

Meeting your blue sky filing responsibilities can be one of the most expensive, time-consuming and frustrating parts of your entire compliance program. With all of the complex regulations and rules, managing your blue sky compliance program can present significant staffing, training and operational challenges for your firm.

The Solution

NRS can help your firm easily manage its blue sky filing requirements giving you more time to focus on your core competency with the Blue Sky Solution™ System. Blue Sky Solution knows when filings are due, creates all initial and maintenance filings, monitors daily sales and facilitates sales trend analysis. With the click of a mouse, the solution will:

Calculate Fees

Schedule Renewals

Generate Reports

Track Filing progress and more

Restore the transparency to omnibus accounts

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Education

NRS Education provides the knowledge and insight necessary for CCOs and compliance staff to meet the challenges of a demanding and fluid regulatory environment. With a mission of advancing compliance as a profession and supporting compliance professionals in managing a successful compliance program, our offerings include:

Investment Adviser Certified Compliance Professional (IACCP®) Program — Offers a comprehensive curriculum for those seeking the knowledge and credibility of one of the industry’s most recognized investment adviser designations.

Investment Adviser Core Training Program — Prepares you for the challenges of today’s compliance environment with essential compliance training.

Investment Adviser Compliance Symposia — Co-Sponsored with the Investment Adviser Association designed to provide continuing education requirements for attorneys, accountants/CPAs, certified financial planners and compliance professionals.

Desktop Seminars — Deliver online training covering important regulatory topics and best practices for compliance professionals.

Desktops on Demand — Receive training when you want it by accessing the library of valuable and insightful Desktop Seminars available online and on demand.

Conferences — Regarded by many as the industry’s best regulatory compliance conferences these twice-yearly events supply in-depth compliance training.

Custom Training — Designed to specifically address your firm’s unique needs.

Consulting

NRS is staffed with veteran compliance and registration specialists, including former regulatory examiners industry CCOs and attorneys. Our consultants combine their knowledge of regulations and industry best practices to provide sound and practical guidance designed to meet your firm’s specific business needs. Our services include:

Registration Services — Offer initial firm registration as well as on-going maintenance of representative registrations, licenses, and continuing education.

Outsourcing Engagements — Allow your firm to partner with NRS and benefit from the experience of our resources to enhance their compliance program.

Reviews — Investigate and test your firm’s compliance program to ensure current regulatory requirements are being met.

Risk Assessments — Evaluate internal controls, identify conflicts and prioritize risks.

Blue Sky Outsourcing — Provide an all-inclusive service to your firm for the management of your blue sky filing requirements.

Form ADV Services — Offer your firm the choice of having NRS review your Form ADV disclosures for accuracy or having NRS rewrite the firm’s Form ADV.

AML Audits — Protect your firm by testing and updating your firm’s policies and procedures against the latest in money laundering and other fraudulent activities.

Custom Consulting — Enables your firm to receive individualized services tailored to your specific compliance needs.

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In today’s fast-changing regulatory environment, there’s little room for error. To protect your firm from regulatory risk, you need a partner with the knowledge and experience to help successfully incorporate compliance into your day-to-day business operations.

Let NRS be your compliance ally. Still need convincing? Read what Compliance Professionals have to say about NRS:

“ We could not manage the 2,000+ permits that we have without Blue Sky Solution. From day one we have received expert training and guidance from NRS—the best resource in the industry.”

“ NRS’ advanced product features, proactive bent in product design/growth and IT team’s readily-available customer service has made them a critical part of our program’s success.”

“ The networking component of the conference was incredibly helpful—it is a safety net that gets us through the other 51 weeks of the year.”

“ Coming from a smaller firm, it was extremely important to me to earn the IACCP designation for two reasons: to demonstrate that the firm had someone in place with a demonstrated deeper knowledge of the Adviser’s Act and associated best practices; and, on a personal level, to give me the confidence that I had the appropriate education and capabilities to manage the firm’s program. It comes down to credibility.”

“ Your agency is one of the best ones that we deal with on a daily basis and it is a pleasure to work with you.”

The compliance experts at NRS can help you develop your compliance strategy, minimize risk and lower costs.

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For more information visit www.nrs-inc.com

or call 1-860-435-0200

© 2015 National Regulatory Services. All rights reserved. Printed in U.S.A.

04.27.15