Nummi & Associates, P.A.
Specializing in Securities Law, Compliance Consulting, Regulatory Law and Risk Management for the Financial Services Industry. REGULATORY COMPLIANCE / PRACTICAL APPLICATION
They’re looking at you through a magnifying glass! Are you prepared?
Nummi & Associates, P.A. (NAPA) is a full service legal compliance consulting, regulatory law and risk management service provider with over 25 years of expertise within the financial industry.
We work with our clients including broker dealers and investment advisors to achieve cost-effective business and regulatory models that will withstand the scrutiny of regulators and auditors. We achieve this end by minimizing potential risk through precision advice, customized compliance programs, and comprehensive risk management services.
Call 813-727-3673 or email info@nummilaw.com for a complimentary consultation.
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Richard M. Nummi, Esq.
OVERVIEW:
• Executive Consultant experienced in all aspects of the financial services industry.
• Former Senior Attorney with the United States Securities and Exchange Commission (SEC).
• Nationally recognized expert in securities (33 Act, 34 Act, and 40 Act), regulation and compliance.
• Featured speaker/educator at multiple industry (NRS/NSCP/NASD/SEC) trade conferences and presentations.
• Experienced executive with strong track record of helping registered representatives and broker-dealers succeed in a highly regulated industry.
• Extensive background in guiding securities firms through development and/or recovery from regulatory findings.
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Broker Dealers
Nummi & Associates, P.A. provides broker dealer firms with comprehensive compliance consulting and risk management services that are implemented by our compliance regulatory professionals.
Our professionals provide consulting support in the areas most important to your firm. We can conduct a risk assessment to guide the development of your compliance program or do a review of your existing program. Additional services include development of your compliance manual and AML procedures, advertising and marketing reviews, due diligence, best execution, internal investigations, and more.
NAPA has a reputation for excellence and serves as outside General Counsel for numerous broker dealers. We specialize in litigation, arbitration, brokerage statement analysis, regulatory response preparation, internal review, audits, entity/personal due diligence and FINRA exam support.
Contact attorney Richard M. Nummi at 813-727-3673 or email info@nummilaw.com for a complimentary consultation.
Investment Advisors, Hedge Funds & Family Offices
Nummi & Associates, P.A. provides INVESTMENT ADVISORS with a comprehensive package of compliance consulting and risk management solutions that are implemented by our regulatory professionals. Our compliance consultants assist your firm meet all SEC RULE 206 requirements including completion and filing of registration documentation, development of customized compliance manuals, training of CCOs, your annual audit and other best practice compliance and risk management services. Contact us for a complimentary consultation.
HEDGE FUNDS & FAMILY OFFICES are facing increased scrutiny from both regulators and investors as new regulations are on the horizon. Nummi & Associates, P.A. offers full-service solutions that are managed by former SEC regulators and compliance professionals who can register your hedge fund, write your firm’s compliance manual, help appoint your chief compliance officer, and conduct an audit review. In addition to our compliance services, we perform comprehensive risk assessments for hedge funds in order to pinpoint potentially dangerous business practices and mitigate them before they have a harmful effect on your business.
