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 our industry.

Rely on NOVON’s expertise to unlock your firm’s potential. 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 impossible. Let NOVON be the support system that puts you out ahead of the rest.

Depending on your situation, needs, and goals, NOVON can provide:

• Suitability and sales practice reviews customized to meet your specific needs and requirements
• Assessments of current policy, procedure, forms, and supervisory requirements against existing regulatory requirements and proposed changes
• Regulatory reviews, audits, and testing of NASD, SEC, and state-level requirements
• Testing of your supervisory control processes, branch inspections, and other audit functions
• Recommendations for change and specific controls for monitoring and ensuring that policies are enforced