Updated Nationwide Business Practices and Compliance Guide is Now Available
Thank you for your continued partnership with Nationwide®. Due to industry and Nationwide policy changes, a review of the Business Practices and Compliance Guide and the Anti-Money Laundering Policy was completed, resulting in modifications to the materials.
The Business Practices and Compliance Guide (Guide) and the Anti-Money Laundering (AML) Policies govern the activities of financial professionals. All financial professionals are required to comply with the Guide, state and federal laws, rules and regulations and any other applicable Nationwide policies and procedures.
Additional information
Our commitment to compliance begins with financial professionals who are committed to observing high standards of behavior.
The Guide provides the following information:
- Suitability standards, required information and disclosures
- Marketing and solicitation
- Licensing and appointment
- Processes and procedures
NOTE: These policies will occasionally be superseded by regulatory announcements and/or other communications. You will be notified via email or our website of any changes.
The AML policy provides the following information:
- Recognizing red flags and suspicious activity
- Acceptable forms of deposits
- Penalties associated with money laundering
- Confidentiality requirements
NOTE: If you notice possible money laundering activity, please contact Nationwide AML Compliance at 1-877-406-4747 or email BDRQST@nationwide.com.
What you need to do
Please review the AML policy and the Guide via the links provided above.