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National Compliance Services, Inc.

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National Compliance Services, Inc.

Overview:

National Compliance Services (NCS) offers hands-on and technology-powered solutions. We’re here to help investment advisers and broker-dealers work through compliance details. We can get you through today’s complex and fast-paced business environment to mitigate risks resulting from:

   Regulatory rule changes
   Heightened regulatory enforcement
   Business and operational changes
   Ongoing reporting requirements
   Failure to supervise
   Lack of in-house compliance expertise
   Personnel turnover

In this environment, offering investment advice is no longer simply a matter of measuring financial risk—it’s about proactively managing all aspects of your firm’s regulatory exposure.
Compliance Services and Capabilities

Whether you need to register a new investment adviser or a broker-dealer; are a registered representative looking to transition to a fee-based platform; or are an established RIA or BD looking to outsource a portion of your compliance functions; selecting the right service provider is an important decision.
At NCS, our compliance services and capabilities include:

   Investment adviser registration
   Broker-dealer registration
   RIA compliance consulting
   Broker-dealer compliance consulting
   Breakaway broker transitions
   Hedge fund, mutual fund and private equity fund assistance
   Monthly online compliance checklists and webinars for policies and procedures audit

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Ascent Limited

Experience The Difference. Ascent Limited provides first class wealth management and family office services. Our private banking team, assembled from a group of highly experienced banking professionals, will provide financial advice tailored to your individual requirements and keep your portfolio in tune with the latest market developments and opportunities.

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