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Want, Need or Risk Reduction Mechanism?
Staff Reporters
As readers and subscribers to the Medical Executive Post, and our related print periodicals, dictionaries and books are aware, choosing the right financial consulting firm, or consultant, is always a challenging task www.HealthCareFinancials.com Today, this is true more than ever, given the financial meltdown and the all too obvious shenanigans of Wall Street www.HealthDictionarySeries.com Lay and physician investors alike are affected; along with related financial advisors of all stripes, degrees and designations [spurious or more credible] www.MedicalBusinessAdvisors.com
National Compliance Services
According to the National Compliance Services, Inc. [NCS] website, an experienced team of customer-oriented professionals is in place that strives to meet personal and corporate compliance needs so that clients can focus on areas of expertise www.NCSonline.com
A Protean Focus
NCS operates in the financial compliance and regulatory services industry. Its strength may be in providing efficient, and reasonably priced products and services for many different sub-arenas, such as: investment and financial advisors, hedge and mutual funds, stock-brokers and broker-dealers. Their customized services are designed to structure a compliance program that is appropriate for any individual, or firm’s unique regulatory needs. NCS works to ensure compliance with applicable federal and/or state rules and regulations.
Range of Products and Services
NCS has offered its personalized services to more than 6,000 clients, both domestically and internationally. Their consultants include former regulatory examiners, accountants, attorneys, and other individuals with extensive hands-on industry experience.
Verification Services
NCS also offers a standard or customized line of verification services to Mutual Funds, Hedge Funds, Custodians, Broker-Dealers, Investment Advisers, and Third-Party Vendors. Verification services can be customized to include any or all of the following:
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Firm Registration/Notice Filing with the Proper Jurisdiction(s)
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Adviser Representative Registration(s)
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Adviser Representative Degree(s) or Professional Designation(s)
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Firm Reported Disciplinary History
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Adviser Representative Reported Disciplinary History
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Proper Registration of Solicitors
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Proper Registration of Wholesalers and Third-Party Vendors
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Bank Background and Activity Reports, and
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OFAC Checks, etc.
Assessment
Moreover, claims of verification for over 15,000 Registered Investment Advisers, and Investment Adviser Representatives, seem plausible. For example, NCS recently contacted www.CertifiMedicalPlanner.com to verify the good-standing of a member and charter-holder.
Contact Info:
For further information, please contact:
Alex Aghyarian
National Compliance Services, Inc
Verification Technician
Phone: 561.330.7645 ext 302 and Fax: 561.330.7044
aaghyarian@ncsonline.com
Conclusion
And so, your thoughts and comments on this Medical Executive-Post are appreciated. Verification in most any space is worthwhile of course; but is membership in a vague or nebulous organization helpful or harmful to the uninitiated?
Speaker: If you need a moderator or speaker for an upcoming event, Dr. David E. Marcinko; MBA – Publisher-in-Chief of the Executive-Post – is available for seminar or speaking engagements. Contact: MarcinkoAdvisors@msn.com or Bio: www.stpub.com/pubs/authors/MARCINKO.htm
Our Other Print Books and Related Information Sources:
Practice Management: http://www.springerpub.com/prod.aspx?prod_id=23759
Physician Financial Planning: http://www.jbpub.com/catalog/0763745790
Medical Risk Management: http://www.jbpub.com/catalog/9780763733421
Healthcare Organizations: www.HealthcareFinancials.com
Health Administration Terms: www.HealthDictionarySeries.com
Physician Advisors: www.CertifiedMedicalPlanner.com
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Filed under: "Advisors Only", "Doctors Only", Career Development, CMP Program, Ethics, Financial Planning, Insurance Matters, Investing, Op-Editorials, Quality Initiatives, Research & Development | Tagged: certified medical planner, CFA, CFP, CMP, CPA, david marcinko, financial advisor, hedge funds, iMBA, Mutual Funds, National Compliance Services, RIA, stock broker |
The Leading Business Education Network for Doctors, Financial Advisors and Health Industry Consultants 
Yada … Yada … Yada,
An abundance of federal agencies regulate the financial industry. But no agency is responsible for understanding or containing risks affecting the financial system as a whole. In fact, none even has a complete picture of the financial markets.
So forget about the SEC, FINRA, Ways and Means Committee, NASDAQ, SIPC, Bankg Association, etc; and all the so-called private vetting and matching firms for financial advisors, too.
Just watch your own back!
No one else will.
-Doubting Thomas
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Thomas,
According to Financial Advisor Magazine on February 10, 2009, an industry trade publication for the financial services sector, it might pay for broker-dealers and registered representatives [financial advisors, stock-brokers, etc] to fight back when the Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) launch a disciplinary action against them.
According to a study by the law firm Sutherland Asbill & Brennan LLP, of the 86 charges litigated by the SEC and FINRA during the year ended September 30, 2008 (the SEC’s fiscal year), firms and reps got charges dismissed 16% of the time. The dismissal rate was higher among SEC cases (19%, or five out of 26) than FINRA cases (16%, or nine out of 60).
PS: The magazine bills itself as “knowledge for the sophisticated advisor”
Source: http://www.fa-mag.com/fa-news/3847-fighting-city-hall.html
So, doubt on, brother!
Janice
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Hey Guys,
You are most correct . To think that the SEC or FINRA is watching out for you is an extreme mistake.
Please forget about Mary Schapiro as new SEC chairman. She did a terrible job of regulating the BDs and as the former CEO of FINRA. Say good-bye to Peter M. Uhlmann, SEC Chief of Staff, too!
I mean – what was Barack Obama thinking when he appointed her?
And, how can anyone believe the industry perpetuated myth that someone like the Fed, or a mere PRO, is unbiased and looking out for you?
Get a clue; all you doctor-type dudes!
Wilson
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More on NCS, Inc
Contact: Valerie Shy – National Compliance Services, Inc.
Phone: 561-330-7645, extension 219
Hope Hetico RN, MHA
http://www.BusinessofMedicalPractice.com
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