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.