Have Confidence in Your Compliance Program
The most effective way to measure your Compliance Program is to conduct an internal regulatory inspection. National Regulatory Services leads the industry in providing mock regulatory and internal inspections. Year after year, Investment Advisers and Hedge Funds have relied on National Regulatory Services to assess their regulatory status and prepare them for today's regulatory environment.
Experienced, Professional Auditors
If you are looking for third-party objectivity, professional consultation, and the most thorough inspection available, then a NRS mock-regulatory audit is for you.
Our audit team will visit your offices and conduct inspections of your primary compliance files, your transactions and record-keeping, and other critical areas of your business. National Regulatory Services has a national audit workforce of highly-trained auditors, all utilizing a sophisticated auditing technology platform. This combination of selective hiring, rigorous training, and sophisticated technologies produces consistent, professional results.
Backed by Experts
Our audit professionals are experienced in SEC and State regulations and come armed with robust audit templates reflecting the latest regulatory requirements. They are trained and managed by NRS Consulting Team, staffed by regulatory subject-matter experts. Our audit templates and audit policies are constantly being revised to reflect the latest regulatory changes and industry best-practices.