Ongoing Compliance Support
Flexible compliance support designed to supplement your internal compliance team.
NextReg provides ongoing compliance support for advisory firms that need expert guidance without adding full-time staff. We help you manage recurring compliance tasks, review marketing materials, update Form ADV, maintain documentation, and complete specialized compliance projects throughout the year.
What We Cover
Marketing & Advertising Review
Expert review of marketing materials under the SEC Marketing Rule.
Form ADV Amendments & Updates
Assistance with Form ADV amendments and disclosures.
Compliance Documentation
Maintain policies, procedures, and required documentation.
Compliance Testing
Conduct required testing and controls validation.
Regulatory Filings
Support for regulatory filings and reporting requirements.
Project-Based Work
Specialized compliance projects and initiatives.
How We Support You
We supplement your existing CCO or operations team.
We provide ongoing guidance on compliance questions.
We help maintain the compliance calendar and recurring tasks.
We deliver quick turnaround for marketing and advertising review.
We support you through ADV amendments and regulatory filings.