CORE COMPLIANCE PLAN
We provides institutional-grade SEC compliance know-how to independent advisors in growth mode.
FULL-SERVICE COMPLIANCE FOR RIAs & STATE ADVISORS
Marketing/Advertising Reviews
Navigating the complexities of SEC marketing regulations can be challenging, but at NextReg, we simplify the process for you! Our specialized SEC marketing review service ensures that all your marketing materials—whether digital, print, or social media—comply with the latest regulatory standards.
Electronic Communications Reviews
Maintaining compliance with SEC electronic communications rules are crucial for all investment advisory firms. NextReg Compliance offers comprehensive electronic communications review services to ensure your emails, instant messages, and social media interactions adhere to SEC regulations.
Code of Ethics Administration
Adhering to a robust Code of Ethics is fundamental building blocks for any Investment Advisor compliance program. NextReg specializes in crafting and implementing SEC-compliant Codes of Ethics tailored to your firm's unique operations and culture. Our experts will ensure your Code of Ethics not only meets regulatory standards but also promotes transparency, integrity, and trust in every aspect of your firm.
-
Trading Review, Gifts and Entertainment, OBAs etc
-
Implementation of Attestations/Certifications
-
Annual Compliance Meeting
-
Ongoing Training
AML Due Diligence, Onboarding and AML Screening support
Ensuring a robust Anti-Money Laundering (AML) program is increasingly becoming critical to protecting your firm from financial crime and regulatory scrutiny. NextReg specializes in designing and implementing comprehensive AML programs tailored to your firm's specific needs. Our expert consultants bring extensive experience in compliance and regulatory frameworks to help you establish strong policies, procedures, and controls that detect and prevent money laundering activities.
Regulatory Filing Services
NextReg’s specialized regulatory filing services ensure that your firm meets all SEC and state requirements accurately and on time. With our experts handling your filings, you can focus on serving your clients and growing your business, knowing that your compliance obligations are in capable hands.
Training Program Administration
(In house + IAR CE)
We believe that knowledge is the foundation of success. Our comprehensive training programs are designed to equip your team with the skills and expertise needed to excel in today's dynamic financial landscape. Whether it's regulatory compliance, investment strategies, or operational best practices, Our tailored training sessions provide your staff with practical insights and actionable knowledge.
Our Commitment to Excellence
At NextReg, we are committed to excellence in every aspect of SEC compliance. Our tailored solutions, expert team, and dedication to client success set us apart in the industry, making us the trusted partner for advisors seeking institutional-grade compliance support.