Vendor Management
Proposed SEC regulations require that investment advisors conduct due diligence and monitor their outsourced service providers. Current broker-dealer compliance software does not offer this function – Ncontracts does. Meeting regulatory requirements is one thing. But how do you know if your vendors are giving you the most value for your dollar? Our vendor management solution empowers RIAs to manage the costs of outsourced activities.
Business Continuity Management
What happens when your clients can’t access their online portfolio? They find a different advisor. With so many clients switching advisors, business continuity planning is a top priority for RIAs. It’s also a FINRA regulatory requirement that needs to be part of your asset management compliance program. You need a software solution that helps you plan for unexpected service disruptions and complies with regulations.
Compliance Management
Our investment compliance software includes all FINRA rules and guidance. Daily regulatory updates ensure that your investment firm stays ahead, enabling you to handle new regulations easily. Don’t overspend on a team of lawyers – when you invest in Ncontracts’ investment advisor compliance software, the regulations you need, curated by our compliance experts, are just a click away.
Vendor's Keeper: How to Make Sure Your Third-Party Vendors Aren’t Creating a Compliance Nightmare
Vendor contracts are vital for RIAs in lowering service-provider prices and maximizing value. Read our whitepaper: “Protect Your Interests: How to Negotiate Cost-Saving Vendor Contracts.”
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Laws vs. Regulations vs. Rules vs. Guidance: What Are the Differences?
What is Contingency Planning and How Does It Work?
