NSCP Affinity Program
The NSCP Affinity Program Provides Members Exclusive Discounts On Products And Services from Participating Vendors.
One of the most rewarding and important opportunities in your career will be in front of audiences giving dynamic and memorable presentations. Feeling the energy from your audience while captivating the room! This is what I teach my clients. Let’s work together to turn that nervousness into excitement and blow your audiences away.
Click Here to Confirm NSCP Membership and receive discount details.
Manage enterprise document delivery and record-keeping transactions supporting a wide variety of compliance requirements. Manage digital, in-person or physical delivery of any client documents (including Form CRS and PeerCompareTM disclosure) on a single compliant platform. Integrated compliance reporting enables advisor and dealer compliance staff to track all disclosure events including client receipt and opens. Key benefits include:
Simplifies the process for advisors to disclose any client document including Reg BI documents
Consolidates real-time reporting (advisor and enterprise-level) for all client disclosure and advisor notes
Drive significant truncation of paper documents on leading digital platform
Click Here to Confirm NSCP Membership and receive discount details.
Adviser Compliance Consulting Inc. (ACC) is a compliance consulting firm that provides pro-active compliance solutions to registered investment advisers, hedge funds, private funds, investment companies, private equity and financial professionals, including outsource CCO service. ACC has extensive experience in the global asset management industry, which includes over twenty years in the Investment Company/Investment Adviser and international compliance area.
Click Here to Confirm NSCP Membership and receive discount details.
Cascade Investment Compliance & Verification provides GIPS compliance consulting, independent verification, and performance examinations. Founded in 2017 with decades of experience, our team is passionate about providing exceptional client service, promoting industry best practices, and offering expert guidance to our clients.
Click Here to Confirm NSCP Membership and receive discount details.
Form CRS Automator has launched and you’re invited to get access to Compliance Solutions Strategies’ solution as a member of NSCP!
CSS developed the Form CRS Automator software tool to streamline the process. It allows teams to quickly produce compliant and accurate information while correctly interpreting the SEC’s strict Form CRS instructions– saving valuable time and reducing risk of non-compliant content that does not align with other filings.
Investment advisers and broker-dealers are required to file Form CRS with the SEC or FINRA by June 30, 2020. For compliance teams, meeting this regulatory obligation can be cumbersome and time-consuming; the final rule alone is over 500 pages.
Features include:
Guaranteed consistency with existing regulatory filings, including as many as 89 data points in Form ADV, Part 1A
Embedded logic and requirements from the SEC release and CRS instructions for Investment Advisers and Broker-Dealers
Expert content curated by our team of compliance professionals
Full ability to customize your filing
CSS is offering NSCP members an exclusive discount on Form CRS Automator. Purchase today and save 20% – Verify NSCP Membership to receive the code here.
To buy Form CRS Automator or for more information, click here.
Consulting services include:
– Independent audits including AML and data governance
– Regulatory advice includes free Compliance Officer Coaching
– Product support includes free ESG compliance assessment
– Quarterly compliance testing includes free Compliance ROI Assessment
– Training includes free GIFS & micro-training videos
Click Here to Confirm Membership Status and Receive Discount Code
Solid provides Compliance Consulting and support services as well as “Independent Consultant” Services. Solid works with Investment Advisers, Broker/Dealers and Funds. Solid also provides independent AML audits for compliance with BSA. Finally Solid can undertake a cyber risk assessment tailored to your firm.
Call us today!
Click Here to Confirm NSCP Membership and receive discount details.
Multilingual legal and financial document translation services from and into English, French, Chinese, Japanese, Korean, Swedish, Norwegian, Russian, Italian, Hebrew, Arabic, Thai, Persian, Portuguese, Turkish, Amharic, Dutch, Spanish, Danish, other languages for regulatory compliance. Certified translation of multi-language e-Discovery to English. Deposition interpreter services in all languages. Details at: https://www.languagealliance.com/legal-translation/
Click Here to Confirm NSCP Membership and receive discount details.
CCS provides compliance services to money managers, broker-dealers, registered funds, and private equity firms. CCS has grown to an experienced team of compliance professionals focused exclusively on the investment management industry. Our compliance professionals have more than 20 years of industry experience.
Click Here to Confirm NSCP Membership and receive discount details.
FX Transparency is the leader in the foreign exchange transaction cost analysis (FX TCA) space. Founded in 2009, we serve over 150 Asset Owners and Managers. Our service saves money, creates operational efficiencies and supports clients’ compliance efforts.
Click Here to Confirm NSCP Membership and receive discount details.
JU Regulation is a regulatory consulting firm specializing in broker dealer and investment advisor compliance matters. Expertise included New Member Application, Continuing Member Applications, Materiality Consultations, Independent AML Test and Risk Assessments.
Red Oak provides compliance services and software to broker-dealers, registered investment advisers, private equity, hedge funds and large global asset managers. Out team has over 100 years of collective experience in the financial services industry.
Red Oak’s software is the advertising compliance review software of choice in the financial services industry with clients having over $19 trillion in assets under management. Clients range from single person firms to many of the world’s largest asset managers. Discover why the biggest firms in the industry rely on Red Oak for faster approvals, books and records compliance, and improved efficiency.
Click Here to Confirm NSCP Membership and receive discount details.
SmartRIA is a compliance software platform for RIAs. We differentiate ourselves by solving more compliance problems in a single platform than do our competitors, and by continuously working to make our customer experience better through ease of use, customer feedback, and great support. SmartRIA Pro™ software provides game-changing fiduciary oversight and surveillance for growing RIAs. This exclusive offer to NSCP members cannot be stacked onto other SmartRIA discounts.
Click Here to Confirm NSCP Membership and receive discount details.
Boutique consulting firm offers regulatory consulting to investment advisors, broker-dealers and banks that cater to high net worth and ultra high net worth international clients. Expertise in anti money laundering and cross border issues, SEC, FINRA and Fed rules.
Click Here to Confirm NSCP Membership and receive discount details.
17a-4, LLC is a compliance company providing consulting and software services to over 800 financial institutions. We have provided Expert Witness testimony to the SEC on several occasions.
We are able to combine both compliance and IT expertise so that we can work with both teams to make sure that records are retained and managed in accordance with Rule 17a-4, 204(7) and other regulations.
Our DataParser software (www.dataparser.net) captures many types of content and formats for supervision and archival retention.
Click Here to Confirm NSCP Membership and receive discount details.
Duff & Phelps global Compliance and Regulatory Consulting practice provides expert compliance consulting services as well as Investment Operations Risk Reviews, Operational Due Diligence Services, Fiduciary Reviews and Mock Regulatory Examinations. Our multi-disciplinary team of professionals provide services to public and private asset managers.
Click Here to Confirm NSCP Membership and receive discount details.
Elteni helps businesses defend against cyber threats, protect data and reduce security risks. Our advisory and consulting services provided by a team of technologists, security experts, ethical hackers, privacy and compliance professionals enables businesses to transform the way they manage their information security and compliance programs.
Click Here to Confirm NSCP Membership and receive discount details.
La Meer Inc.’s GRACE suite of solutions are modular and address SEC, FINRA’s Compliance expectations comprehensively for Compliance Policies and Procedures, Attestations, Training, Pre-trade Approval, forms for Gifts, Political Donations, Outside activity reporting, Personal trade monitoring, Post trade analytics and risk assessments and regulatory reviews.
Click Here to Confirm NSCP Membership and receive discount details.
Kaplan Financial Education offers exam prep and education programs for the securities industry. Kaplan offers learning methods to fit every lifestyle and budget, from live classes to online and OnDemand courses and self-study options. Trust Kaplan to give you the knowledge and confidence to pass your exam the first time.
Click Here to Confirm NSCP Membership and receive discount details.
Pass your qualification exam and earn your next series license with exam-focused study solutions. Choose your series to get started:
SIE
Series 3
Series 4
Series 6
Series 7
Series 9
Series 10
Series 24
Series 26
Series 27/28
Series 52
Series 53
Series 63
Series 65
Series 66
Series 79
Series 99
Hardin is a full-service compliance consulting firm, offering expert compliance solutions and advice to firms in the securities industry. We distinguish ourselves from other firms by providing hands-on, customized regulatory compliance solutions designed to meet your compliance goals. Put your compliance program into action using our proprietary Solution, Compliance Navigator®
Click Here to Confirm NSCP Membership and receive discount details.
NSCP Affinity Program Vendors
