Let NOVON show you the way through the changing regulatory landscape.
In an environment where the road signs — and even the roads — keep changing, it's essential to have a guide who knows the way. Keeping up with constantly changing regulations and compliance requirements involves a significant investment of time and personnel. Let NOVON help.
We have the experience and dedicated resources to help you stay ahead of this volatile aspect of the securities industry.
Rely on NOVON's expertise to meet today's regulatory and compliance challenges. Are you comfortable that your firm has a strong compliance culture? Do you have the resources you need to be proactive and anticipate new regulations? Are you able to respond swiftly to compliance issues as they are uncovered?
If you are like many firms, your compliance responsibilities are increasing at great speed and just keeping up with day-to-day operations may be difficult. Let NOVON be the support system that puts you out ahead of the rest.
Depending on your situation, needs, and goals, NOVON can provide:
 Social Media Road Map, including policy and supervision assistance/development along with monitoring and surveillance services. - Suitability and sales practice reviews customized to meet your business model.
- Assessments of current policy, procedure, forms, and supervisory requirements against existing regulatory requirements and proposed changes
- Regulatory reviews, audits, and testing of FINRA, SEC, and state-level requirements
- Testing and verification of your supervisory control processes, OSJ and branch office inspections, and other audit functions
- Recommendations for change and specific controls for monitoring and ensuring that policies are enforced
- Training and education of your compliance staff
- Conduct the Annual Compliance Meeting
Industry Affiliations
NOVON is proud to support the financial services industry through our membership and/or active participation in:
- National Society of Compliance Professionals (NSCP)
- Financial Services Institute (FSI)
- Securities Industry and Financial Markets Association Compliance and Legal Practice (SIFMA).
|
