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.
The Technology Showcase will allow you to 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 one-on-one time gaining first-hand insight on the product functionality for 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
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 delivers a three-sided approach to compliance—comprehensive education, best-in-class technology and expert consulting services. We understand the needs of compliance professionals, from the tools they use to the regulatory requirements their firms must meet. For industry newcomers and seasoned CCOs alike, no one has more ways to help you avoid risk and protect your firm’s reputation than NRS. 
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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