National Compliance Services Inc.

  • At SSG, a Focus on Compliance, Including Expert Advice for State- and SEC-Registered RIAs

  • Client Commission Practices and Soft Dollars

  • Code of Ethics Rule

  • Nothing but the Best Execution

  • Privacy Policies and Rules

  • Proxy Voting

  • The New and Improved Form ADV

  • Using Solicitors to Attract Clients