NCA Compliance, Inc. is an RIA compliance consulting firm that provides a wide range of compliance services and solutions customized and tailored to your firm’s specific needs and characteristics.
NCA Compliance services include:
We can help prepare your firm for your first or next regulatory inspection. Our principal consultant conducted 50 examinations while at the SEC with over 20% referred to the Division of Enforcement. Click here for more information regarding whether a mock SEC examination makes sense for your firm.
Forensic Testing / Annual Review
Forensic testing can be an important component of your compliance program and annual review. NCA Compliance can recommend and conduct a number of tests based on the risk characteristics of your firm.
Gain the expertise of a full-time independent compliance professional with strong SEC and private-sector experience. Click here to see an SEC risk alert on CCO outsourcing and why this service doesn’t make sense for every firm.
We can help make the registration process easy and painless. Our service includes helping draft and file your Form ADV and getting your Investment Advisory Representatives registered.
Whether your firm is registering as an advisor or looking to strengthen your compliance program, we can help you draft policies and procedures tailored to your firm.
Marketing and Advertising Review
As an investment advisor, you are subject to numerous rules and regulations with respect to your marketing material. We can help ensure your advertising is compliant and reduce your potential liability.
We can provide you advice regarding a number of U.S. and foreign regulatory filings, including Form 13F, 13G, 13D, 13H, and Hart Scott Rodino.
Why Select NCA Compliance?
An Experienced Compliance Consultant
Hayley Nelson, our President and Principal Consultant, has 20 years of SEC and industry experience. She conducted and/or led 50 examinations while at the SEC and received a national award from the agency for outstanding service. Over 20% of her examinations resulted in referrals to the Division of Enforcement, well above the 5% average referral rate.
Customized Compliance Services
We put the checklist aside and dig down and focus on your specific needs and risk characteristics.
A Different Perspective
Already working with a consultant? We come in with a fresh perspective, whether performing a mock audit, forensic testing, or other compliance services.
Dedicated Consultant
A dedicated consultant that knows your business means increased efficiency, accuracy, and consistency.
Cyber-Security
We maintain a number of information security policies and procedures, including data and email encryption, to help protect the data of our clients. Ask us for more information.