The NSCP Affinity Program Provides Members Exclusive Discounts on Products and Services
10% off Designated 3rd Party and DataParser from 17a-4, LLC
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.
10% Off Form CRS Automator by Compliance Solutions Strategies (CSS)
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.
- 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 10% – Verify NSCP Membership to receive the code here.
To buy Form CRS Automator or for more information, click here.
10% off Mock Regulatory Exam, Operational Due Diligence and On-Going Compliance Support from Duff & Phelps
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.
10% off Cybersecurity Services from Elteni, LLC
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.
10% off GRACE Web Based Software Solution from La Meer Inc.
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.
10% off R. Securities Licensing Exam Prep and Education by Kaplan
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.
Pass your qualification exam and earn your next series license with exam-focused study solutions. Choose your series to get started:
5% off Ongoing Compliance Consulting Services from Hardin Compliance Consulting LLC
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®