You are reading the first installment of the National Compliance Services, Inc. (“NCS”) blog. By way of background, NCS is a leading compliance consulting firm located about a mile from the ocean in Delray Beach, Florida. This blog will focus on compliance advice for Investment Adviser Representatives (“IARs”) and Registered Investment Advisers (“RIAs”). Although my specialty is advertising and marketing compliance, I will be reaching out to NCS’ attorneys and consultants for assistance in discussing a wide variety of issues facing RIAs. NCS also has many broker-dealer experts who will help me address topics of interest to brokerage firms and registered representatives. (Click here to continue)