Founded in 2003 and acquired by STP Investment Services in 2021, NCS Regulatory Compliance provides expert consulting services to investment advisers, broker-dealers, and private funds. The firm specializes in helping financial organizations navigate the complex and evolving regulatory landscape. Their services include SEC/state registration, mock regulatory exams, compliance program development, annual reviews, cybersecurity solutions, and ongoing consulting to ensure adherence to industry rules and regulations.

Founded in

United States