We provide institutional-grade SEC compliance services to independent advisors in growth mode.
Regulatory Design Strategy
We work closely with you to develop a regulatory design strategy that aligns with your business goals and industry regulations, setting the foundation for a compliant and successful operation.
Compliance Assessment & Planning
Our team conducts thorough compliance assessments and provides detailed planning to address any gaps, allowing you to navigate regulatory requirements with confidence.
Personalized Consultative Approach
NextReg offers personalized consultations to understand your unique compliance challenges and provide tailored solutions, empowering your team to navigate complex regulatory landscapes.
Compliance Implementation & Support
From initial design to final implementation, we provide dedicated support to ensure seamless integration of compliance measures, allowing you to focus on your core business objectives.
CUSTOMIZE
YOUR OFFERING
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​SEC FILINGS (ADV, etc.)
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STATE FILINGS
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COMPLIANCE MANUAL
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SEC ANNUAL REVIEW
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ANNUAL COMPLIANCE MEETING
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SEC EXAM SUPPORT
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EMPLOYEE COMPLIANCE
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GRC PLATFORM MANAGEMENT
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AML/KYC PROGRAM SET-UP
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COMMUNICATIONS REVIEWS
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MARKETING COMPLIANCE
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TRADE MONITORING