NFA/CFTC Compliance Management Program

For firms that require more in-depth and ongoing NFA/CFTC compliance support, we offer a management program that includes the following:

  • Serve as NFA security manager
  • Conduct instructor-led, NFA-required ethics training for associated persons (upon request)
  • Provide NFA recordkeeping tutorial (upon request)
    Provide NFA promotional materials tutorial (upon request)
  • Complete annual NFA registration update
  • Complete annual firm and disaster recovery electronic questionnaire filings
  • Complete annual self-examination questionnaires
  • Review, update and revise written supervisory procedures to reflect current business practices and emerging regulatory requirements (including annual review of privacy policy)
  • Maintain compliance calendar
  • Review and confirm registration information within NFA’s automated system of each of the CPO’s principals, associated persons, swap associated persons (as relevant) and executive officers on an annual basis
  • File Form 8-T to de-register associated persons/swap associated persons (as necessary)
  • Conduct disclosure document filing (as necessary)

We promote open and consistent communication throughout the entire engagement by offering unlimited consulting. Consulting via phone, email and web conferencing is included for the duration of the engagement. We encourage you to contact us at any time with questions pertaining to the scope of the engagement.