NCS 2009 Annual Retainer
Compliance Assistance Program
National Compliance Services, Inc. (NCS) offers a variety of Compliance Assistance Programs specifically designed to allow you to work closely with an NCS compliance consultant to meet your firm’s specific regulatory needs and comply with your obligations as a Chief Compliance Officer under SEC Rule 206(4)-7 or applicable state law(s).
Each Level of assistance consists of a fixed number of consulting hours, products, and services that are described more fully below. Under these Levels, NCS will act on your behalf where filing requirements are necessary and deadlines must be met. You can contact us by telephone, fax, or e-mail with any questions regarding advisory compliance at any time during the course of the year. Many advisers use this service either to resolve specific compliance issues/problems that arise in conducting their day-to-day business or to simply confirm conclusions already reached.
Additionally, NCS Compliance Assistance Programs can be custom designed based on your firm’s unique business practices and compliance needs. NCS’ goal is to provide our clients the highest quality consulting service at a reasonable cost.
If you are unsure of which level of service is right for you please click here Level Indicator link, then complete and submit the form. NCS will review your response and give you a call to discuss your options.
For more information, contact Chad Jones at 561-330-7645 x 210.
- NCS will act as the Service Bureau Administrator for your IARD account
- Prepare and file your annual renewal documents
- Prepare and file your annual updating amendment(s) as required
- Monthly Compliance News Flyer delivered via e-mail
- Monthly checklist to assist you in auditing your Policies & Procedures
- Web-based compliance seminars on relevant Investment Advisory issues
- 3 hours of consulting time
Level 2
- NCS will act as the Service Bureau Administrator for your IARD account
- Prepare and file your annual renewal documents
- Prepare and file your annual updating amendment(s) as required
- Monthly Compliance News Flyer delivered via e-mail
- Monthly checklist to assist you in auditing your Policies & Procedures
- Web-based compliance seminars on relevant Investment Advisory issues
- 8 hours of consulting time1 that can be used for:
- Form ADV Review/Rewrite/Amendments as requested by client
- Client Agreement Review/Comment from a regulatory perspective
- Customization of Written Policies and Procedures
- Website Review/Comment
- Routine telephone consultations/ Projects and/or research initiated by client
- Reviewing and responding to Regulatory deficiency letters
- Customized Compliance Calendar
- Notice filings or state registrations for the firm as requested by client
- Registrations and terminations of IARs as requested by client
- Access to Document Library
- Storage and Backup of ADV, Contracts, Written Policies and Procedures
- E-mails initiated by NCS to explain new rules and or regulations as well as on-going compliance requirements
Level 3
- NCS will act as the Service Bureau Administrator for your IARD account
- Prepare and file annual renewal documents
- Prepare and file annual updating amendment(s) as required
- Monthly Compliance News Flyer delivered via e-mail
- Monthly checklist to assist you in auditing your Policies & Procedures
- Web-based compliance seminars on relevant Investment Advisory issues
- 20 hours of consulting time1 that can be used for:
- Form ADV Review/Rewrite/Amendments as requested by client
- Customizing Written Policies & Procedures
- Off-site Compliance Reviews
- Client Agreement Review/Comment from a regulatory perspective
- Website Review/Comment
- Routine telephone consultations/ Projects and/or research initiated by client
- Reviewing and responding to Regulatory deficiency letters
- Customized Compliance Calendar
- Notice filings or state registrations for the firm as requested by client
- Registrations and terminations of IARs as requested by client
- Access to Document Library
- Storage and Backup of ADV, Contracts, Written Policies and Procedures
- E-mails initiated by NCS to explain new rules and or regulations as well as on-going compliance requirements
Level 4
- NCS will act as the Service Bureau Administrator for your IARD account
- Prepare and file annual renewal documents
- Prepare and file annual updating amendment(s) as required
- Monthly Compliance News Flyer delivered via e-mail
- Provide monthly checklist to assist you in auditing your Policies & Procedures
- Web-based compliance seminars on relevant Investment Advisory issues
- 20 hours of consulting time1 that can be used for:
- Form ADV Review/Rewrite/Amendments as requested by client
- Client Agreement Review/Comment from a regulatory perspective
- Customization of Written Policies and Procedures
- Website Review/Comment
- Routine telephone consultations/Projects and/or research initiated by client
- Reviewing and responding to Regulatory deficiency letters
- Customized Compliance Calendar
- Notice filings or state registrations for the firm as requested by client
- Registrations and terminations of IARs as requested by client
- Access to Document Library
- Storage and Backup of ADV, Contracts, Written Policies and Procedures
- E-mails initiated by NCS to explain new rules and or regulations as well as on-going compliance requirements
- Plus your choice of one of the following:
One-Day On-site Compliance Review 4
or
10 Additional Hours of Consulting
ADDITIONAL CONSULTING TIME
3 hours discounted to $675.00 with retainer program
UNLIMITED TELEPHONE CONSULTING SERVICES
Unlimited Email/Telephone consulting for answering general consulting questions via telephone calls and/or email (not for time spent on research, customizing procedures or documents, firm or IAR registrations, compliance reviews of advertising or websites) can be added to any level of service
QUALIFIED PLAN ADVISORY CONSULTING SERVICES
(Please contact your NCS Sales Representative for pricing)
If you offer advisory services to qualified retirement plans please contact your NCS Sales Representative regarding specialized consulting services that NCS can provide. You can also indicate your interest in these services when returning your 2009 Retainer Services Request Form under Level 3 or Level 4.
Questions regarding this service should be directed to Chad Jones at 561-330-7645 ext. 210 or via e-mail at chad@ncsonline.com