ComplianceGuardian Platform

Check all your boxes with a technology partner as diligent as you

Keep your firm in compliance today and in the future with a platform that combines leading compliance software, the latest expert content, continuing education and advanced regulatory consulting.

Our compliance platform includes the tools and capabilities to help firms navigate the regulatory landscape.

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ComplianceGuardian Form ADV 2B

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Form CRS Tool

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Monthly Compliance Program Management

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Policies and Procedures Management

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Reg BI Disclosures

Create, monitor and report on your custom policies and procedures

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Stay on top of your compliance obligations

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Easily comply with Form CRS disclosure requirements

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Never miss a compliance requirement

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Swiftly put your firm’s policies and procedures on solid ground

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Manage your registered representatives Form ADV 2B

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Track representatives in real-time

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Keep your teams informed through ongoing legal education

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Choose NRS and let our experts become your experts

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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.
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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.
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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.

Frequently Asked Questions

What is a Form ADV 2B and why would a compliance professional have to file one?
What is included in the ComplianceGuardian platform?
Is ComplianceGuardian designed for investment advisers?
Is ComplianceGuardian designed for broker-dealers?

Schedule a demo!

Find out how NRS solutions can help your firm implement effective policies and procedures to safeguard against noncompliance.