Lakeville, CT (openPR) 1 October 2010

ORA

, the national leader in advising on compliance with the education and technology solutions, today announced new product enhancements, technical compliance ComplianceMAXâ modular? ¢ â? an updated version of the gifts and hospitality management module. This new module addresses better management and monitoring of compliance with the following four topics:

No gifts or gratuities


Entertainment Business o

o non-cash compensation

o Political donations (including? Pay for Playa ????)

Designed to the SEC, FINRA, MSRB rules and regulations and policies that you support for each of the categories above, the module allows brokers and investment advisers confidently in control of a process often fragmented and complex.


Strengthening

gifts and hospitality management module includes administrative controls that the company set the criteria to limit the time for special events and aggregations per year. An integrated workflow routes to 360 degrees violations of political authorities to control the time or aggregate limits. â? Playa pay? Requirements are built into the module to ensure that all political contributions from companies, investment advisory and reported did not cover his staff against regulationist new? s limitations or restrictions. In addition, the module provides a central repository for the preservation of all necessary lists provided by the regulationist? Destruction of records s.

â? In todayâ? s ever-changing legal environment, it will be increasingly important for a financial services company to a strong new rules and proactively allocate appropriate tools and internal policies and attention sufficient to address themes ????, said Brent Newman, CEO of NRSA ? s Global Product Group. â? ORA is the same concept for his philosophy of product development, are preparing to host an episode? Playa pay? Management features in the latest version of donations already robust and Entertainment Management Module.â p> ???? ComplianceMAX be integrated into a company? s to help back-office system, registered representatives and investment advisors provide with an effective means of presentation and archiving of events to report, without that solutions developed internally. ComplianceMAXâ? S flexible, modular platform that offers companies the opportunity to just stand-alone gifts and entertainment management module or binding with additional modules such as public communication and advertising review, Verification Technologies, a business training component, and more. For more information, you can see a demonstration of the 25th ComplianceMAX Annual Meeting of NRS NRS Fall Compliance Conference www.nrs-inc.com/ComplianceMAX visit or call (860) 435-0200.


About ORA


National Regulatory Services (NRS) is the nation? s leading provider of products for compliance and registration services for investment advisers, brokers, hedge funds, investment companies and insurance companies. SNR has practical experience and a proven ability to offer unprecedented scale integrated compliance solutions and effective for a wide range of users in the financial services industry. ORA offers these solutions in-depth three inter-â offers? General education, â best in-class technology and consulting services experts? enables our customers to meet their regulatory requirements and minimize the risk. For more information, visit www.nrs-inc.com.


Contact

:

Lippert / Heilshorn & Assoc.
Adam Handelsman

(212) 838-3777

AHandelsman (at) lhai com (dot)

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Compliance Audit