How utilizing technology can help you achieve greater compliance efficiency
Ensuring strong regulatory compliance is becoming a resource-intensive and expensive business. Federal and state regulatory changes are in flux and internally-driven initiatives can take many forms and impact the entire organization.
At the Technology Showcase, you can speak to NRS product experts about solutions that allow you to proactively manage the increasingly-dynamic regulatory environment. See in-depth product demonstrations or, if you are a current NRS Technology customer, spend time one-on-one gaining first-hand insight on the functionality of products like ComplianceMAX™, NRS ComplianceGuardian™ and RepTracker.
ComplianceMax™
- Web-based enterprise compliance platform
- Disclosure, Affirmations and Questionaires
- Advertising and Communications Review
- Audit Technology
- Field Audit Services
- Customer Complaints Management
- FIRM Element & Insurance CE training
- Custom solutions
NRS ComplianceGuardian™
- Investment Advisor & Broker Dealer Policy Management Automation
- Federal and State regulatory reference
- Model document libraries
- Registration, forms and filing information
RepTracker
- Consolidated rep tracking and reporting
- License, profile and operational management
- Electronic FINRA updates
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NRS has the practical expertise, proven capability and unparalleled reach to deliver integrated and effective compliance solutions to a wide range of users within the financial services industry. NRS delivers these solutions through three interrelated offerings—comprehensive education, best in-class technology and expert consulting services—enabling our clients to meet their regulatory requirements and minimize risk. 
NRS Education provides the knowledge and insight necessary for CCOs and compliance staff to meet the challenges of a demanding and fluid regulatory environment. Our mission is to advance compliance as a profession and support compliance professionals in managing a successful compliance program. |
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