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CFTC/NFA On-going compliance
Our collaborative approach allows you to leverage the experience and knowledge of the common regulatory issues we see across our client-base and the broader industry, to help you build your business in a pragmatic and thoughtful way. This approach takes into account both regulatory requirements and industry best practice.
CFTC/NFA On-going compliance
Our collaborative approach allows you to leverage the experience and knowledge of the common regulatory issues we see across our client-base and the broader industry, to help you build your business in a pragmatic and thoughtful way. This approach takes into account both regulatory requirements and industry best practice.
About our service
Our compliance monitoring is intended to help you build your business in a pragmatic and thoughtful way. We are able to provide you with visibility over the industry through our experience across our diverse client base. Our pragmatic approach takes into account both regulatory requirements and industry best practice.
Our extensive CFTC/NFA compliance monitoring services include a visit from us on a monthly or quarterly basis. We typically like to work with clients on an ongoing basis because it allows us to better understand your business and your risks.
Click here if you would like more information on our on-going CFTC/NFA compliance support services.
Service Checklist
Comprehensive compliance support to registered CPOs and CTAs
Form 7R and Form 8R/8T updates
Review and updating of Compliance Manual
Development and maintenance of the compliance monitoring program
Quarterly onsite review meetings
Compliance calendar and checklists
Assistance with determining the applicability of CFTC exemptions
Assistance with identifying Associated Persons, Principals and Branch Offices
Assistance with CPO-PQR and CTA-PR reporting
Assistance completing NFA Self-Examination Questionnaire
Marketing materials review
Assistance with annual NFA requirements
Employee electronic communications review
Frequent industry updates
Ad-hoc regulatory queries
Assistance with regulatory examinations
Other CFTC/NFA Compliance
Consulting services
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