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FINRA has revised its proposal to reduce the frequency of home office inspections. Under the proposal, firms which meet certain eligibility criteria will be able to move to a three-year inspection cycle, as opposed to the current two. Learn more. financial-planning.com/news/…
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If you are an investment adviser, broker-dealer, hedge fund or investment company NRS has the right compliance solutions for you. We serve over 6,000 clients, from the largest to the smallest firms in the industry.
Learn more about our solutions today. okt.to/ov3TiN
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NRS delivers robust software, deeply experienced consultant compliance professionals and education, from engaging conferences to skill building, test prep and CE – each continually updated – for compliance confidence. Speak with one of our experts. okt.to/c1VE4y
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The SEC recently released their 2023 exam priorities. However, what hasn’t been known, up until this point, is how those exams will take place and what firms can expect when interacting with an SEC examiner.
Learn more. okt.to/p8hsQ6
#SECregulations
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Cybersecurity isn’t a new issue, but given the increasing sophistication of cyberattacks, the risk has evolved and can no longer be considered a second-tier priority. Learn why @ComplySci believes implementing cybersecurity #regulatorycompliance is a must. okt.to/Q9zevD
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NRS is the training platform for compliance people. Bringing together industry leading insight and real time education — because you never stop learning. Ready to learn about our solutions? Talk to one of our experts today. okt.to/ONMTkI
#compliancesolutions
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We serve over 6,000 clients, from the largest to the smallest firms in the industry. Our offerings are flexible, comprehensive, continually updated and backed by extraordinary customer care.
Talk to one of our experts today. okt.to/Bqs7UE
#compliancesolutions
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The threat and impact of a #cybersecurity breach has never been higher, with new and more sophisticated methodologies. Learn how to create a cybersecurity #regulatorycompliance program designed to meet all SEC cybersecurity requirements. okt.to/BCG1PH
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The SEC’s #RegBI regulation has been in effect since 2020, however, since the rule has been in effect, there have been very few enforcement actions taken by the SEC. Meaning, we don't know how Reg BI will work in practice okt.to/A2r6lF
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Earn top credentials as a compliance professional with the NRS IACCP® program. The certification responds to growing industry demand for advanced compliance education and nationally recognized professional standards.
Learn more. okt.to/tZuWbD
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As cyber threats become more frequent, traditional point-in-time assessments are no longer sufficient to provide effective cybersecurity. Cybersecurity isn't just an IT issue, but a business issue that requires ongoing attention and investment. Learn more. okt.to/MJgFNm
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The #SEC put firms on notice that recent retail-focused examinations of broker-dealer compliance practices revealed numerous "deficiencies and weaknesses" which could erode investor trust in the financial system. Learn more. okt.to/MPsaWB
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As the SEC shows a growing interest in insider trading, MNPI is becoming a concern for financial advisory firms. As your investment firm navigates the financial landscape, protecting MNPI must remain a top priority of your compliance program. Learn more. okt.to/KespEl
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NRS offers a right-sized approach that helps firms identify their cybersecurity risks from closing the gaps that exist in a firm’s IT security infrastructure, to developing customized cybersecurity policies with a focus on compliance.
Schedule a demo. okt.to/1Vz8CZ
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Check out our March events!
Our upcoming schedule covers compliance challenges, IACCP examinations and more. Register today!
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Establishing a #CodeofEthics isn’t something that’s just nice to do, it’s required by federal and state regulators. The SEC cracks down on firms that forego their fiduciary duty to clients, and the penalties can be severe.
Learn how to get started. okt.to/mwUVHj
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Due to the pace of continued growth, the #SEC's Division of Examinations made clear within their 2023 priorities its aim to examine and audit private fund advisers to ensure continued compliance with all regulatory requirements.
Learn more. okt.to/PQrjmO
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Put the renowned expertise of NRS compliance professionals in your corner with an NRS Premier Compliance Partnership. The program bundles several products and services that, in our experience, have proven most advantageous to NRS clients. Learn more. okt.to/THQ3R7
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Among the #SEC’s data-related rules is Rule 30(a) of Regulation S-P, which is commonly referred to as the Safeguards Rule.
Find out how to ensure that your firm doesn't violate the agency’s data-related regulation. okt.to/0g54xf
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NRS is the training platform for compliance people. Bringing together industry leading insight and real time education—because you never stop learning. Learn more about our solutions today. okt.to/3KjBfA
#compliancesolutions #regulatorycompliance
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