NUMMI LAW | Richard M. Nummi

COMPLIANCE CONSULTING | Nummi & Associates, P.A.

Specializing in Securities Law, Compliance Consulting, Regulatory Law and Risk Management for the Financial Services Industry.

REGULATION SERVICES

• 1017 Filings-Broker Dealer Change of Ownership ... Nummi & Associates, P.A. (NAPA) provides a required documents list to your firm for completion and filing of the 1017 application.

• AML Procedures and Audits ... NAPA writes AML prevention procedures to detect suspicious securities transactions and conducts the required annual AML audit.

• Best Execution ... NAPA works with clients to achieve "reasonable diligence" in all transactions to protect the best interests of investors.

• Continuing Education Programs ... NAPA can provide access to CE courses through a third party affiliate or design custom training courses for your unique situation.

• Internal Investigations ... NAPA conducts confidential internal investigations to assess damage after representative malfaesance, to determine potential liability, and supervise damage control.

• Advertising and Marketing Reviews ... NAPA reviews materials and consults on changes needed and oversees due diligence reviews.

• Don't see a service you need? Just ask. Nummi & Associates, P.A. may offer the service through affiliate relationships.

Contact attorney Richard M. Nummi at 813-727-3673 or email info@nummilaw.com for a complimentary consultation.

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COMPLIANCE STARTER PROGRAM ...

REGISTRATION (SEC / FINRA / STATE)

NAPA completes and files all SEC, FINRA and STATE member applications including Form ADV, new member and continuing member applications.

WRITTEN SUPERVISORY PROCEDURES

NAPA provides your firm with a compliance manual template and works with you to tailor the policies, procedures and supervisory structure to account for your unique business model.

SUPERVISORY CONTROLS AND ANNUAL REVIEW

NAPA's compliance professionals guide your firm through the appropriate annual compliance review program to identify and and improve weaknesses and deficiencies.

MOCK SEC/FINRA AUDITS

NAPA's mock audit is a sampling of your firm's records, compliance and internal controls. It is a detailed review of records, procedures and controls. Mock audits are designed to replicate the audit conducted by your regulators.

COMPLIANCE AND BUSINESS CONSULTING

NAPA can provide on-call consulting 24/7 to answer your questions, assist in preparation of regulatory responses or assist in the resolution of compliance issues as they arise.

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