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Legal & Compliance

Helping you comply with a constantly changing regulatory environment

Our compliance staff has the product knowledge and practical experience that will allow you to conduct your business in an effective manner, while helping you comply with the constantly changing regulatory environment. 

Services that the Nationwide Planning Compliance Department provides to ensure that your practice runs as efficiently as possible include:
  • Prompt review of all marketing materials, guaranteeing that our turnaround time does not hinder the effectiveness of your marketing plan
  • A dedicated complaint and arbitration assistance team that will ensure that these sensitive matters are handled with the utmost care, in a prompt and appropriate fashion
  • Overseeing of the annual distribution of the Needs Analysis survey, where our advisors can effectively communicate to us the areas in which they would like additional training or any other areas of concern
  • Our Compliance Department is always readily accessible – a member of our Compliance team can be reached via phone during normal business hours and 24/7 via e-mail
 
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"As a broker dealer in the independent distribution channel, NPA Financial provides all the tools necessary to serve clients. The Technology and Compliance Departments, however, are what separate Nationwide from the rest of the industry. They are always searching for new products, ideas and services so they can keep up with the industry trends and to achieve the client’s current concerns and goals."


Antonio Suarez Borelli
Financial Advisor
Puerto Rico