|Heightened regulatory scrutiny and numerous new regulations have resulted in compliance burdens that can be overwhelming to firms of all sizes. Broker-dealers are faced with amplified risks and increased costs. Hiring qualified personnel is one solution, but staffing is costly and can yield uncertain results. The ComplianceMAX system offers a compelling solution to this problem. Our Resources™ program provides a step-by-step regulatory framework that is structured and systematic; a program designed to get your firm on the path to compliance and help keep you there.
Technology enabled compliance—Compliance designed by us, implemented by you
We monitor and interpret: NRS actively monitors regulation, interprets SEC and NASD rules, and delivers a regulatory implementation plan designed around a series of monthly web-based compliance modules. These modules can be accessed from any computer with an internet connection and web-browser.
You perform the leg-work: Following our self-guided monthly compliance modules, you'll be taken step-by-step through the job of the Chief Compliance Officer. Each month you will perform these tasks with confidence, knowing that National Regulatory Services has worked with hundreds of small firms just like yours to deliver a structured, systematic compliance platform.
Add the last pieces: Round out your program with Model Forms and an On-line Business Continuity Plan, all provided as part of this full-featured compliance program.
A virtual compliance department
Our monthly compliance modules collectively represent a comprehensive compliance program and are modeled after systems and processes utilized in the nation's leading financial firms. Through ComplianceMAX Resources, the expertise, Resources and guidance of our leading compliance practitioners are at your fingertips. We've leveraged years of field work and practical experience and delivered it to you in a series of manageable monthly assignments. All that's required of you is a few hours per month and a strong commitment to developing a "culture of compliance." We'll do the rest.
A complete broker-dealer compliance solution
ComplianceMAX Resources™ is designed to provide you with everything that you need to get on the road to compliance and stay there. We've bundled the foundational elements of a compliance program into a simple, comprehensive and affordable package designed specifically for small firms.
ComplianceMAX Resources™ includes:
- 12 Monthly Compliance Modules
- Business Continuity Plan
- Model Forms & Documents Library