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We understand your challenges.
With a team of former compliance professionals and regulators, we know what it takes to build a culture of compliance.
We have our finger on the pulse.
We provide continuous insight and applicable best practice solutions to tackle timely regulatory issues with dozens of live and on-demand events throughout the year.
We are your partner.
For more than 30 years we have been the nation’s leader in compliance and registration products and services for financial services firms, helping guide our clients’ compliance strategy, minimize risk and lower costs.
What is a Form ADV 2B and why would a compliance professional have to file one?
Form ADV 2B is a supplement to Form ADV, which is a regulatory filing required by the SEC and state securities regulators for investment advisers. Form ADV 2B is specifically for investment adviser representatives (IARs) and provides additional information about the IARs who provide investment advice on behalf of the firm.
IARs must file Form ADV 2B with their state regulator(s) as part of their registration process. The form includes information such as the IAR's education and business background, any disciplinary history, compensation arrangements, and other information that may be relevant to clients or regulators.
Compliance professionals may need to file Form ADV 2B on behalf of their firm's IARs as part of their overall compliance program management. Ensuring that all required regulatory filings, including Form ADV 2B, are completed accurately and on time is an important aspect of maintaining compliance with applicable regulations.
What is included in the ComplianceGuardian platform?
Firms of all sizes choose ComplianceGuardian to cover their compliance fundamentals, including:
Model Policy and Procedures and Written Supervisory Policies and Procedures (WSP).
Quarterly updates on changing policy requirements and industry guidance.
Model Documents Library.
Expert Guides and Checklists.
Annual Review Management Tool.
Attestation Management and Archiving.
Compliance Calendar and Monthly Compliance Program Workbooks.
Is ComplianceGuardian designed for investment advisers?
Yes, designed to meet the ongoing challenges Compliance professionals face, NRS’s ComplianceGuardian platform for Investment Advisers is designed from the ground-up to help you build and maintain a strong compliance program. Our cost-effective solution includes an improved user experience and added features, provides your firm with the flexibility to choose the right mix of modules and features to fit your needs and foster a culture of compliance confidence.
Is ComplianceGuardian designed for broker-dealers?
Yes, designed with compliance in mind, NRS ComplianceGuardian provides you with flexibility and peace of mind in maintaining a robust, streamlined and cost-effective compliance operation for your broker-dealer firm. Including an improved user experience and newly added features designed to streamline supervision and oversight.