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

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