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)
