We assist in NFA and/or CFTC registration and ensure that your firm remains in compliance with all requirements. Our NFA/CFTC compliance program includes:
- Drafting CPO compliance policies/written supervisory procedures
- Leading registration process, including:
- NFA membership
- CPO firm registration
- Swap firm registration (as necessary)
- Registration of principals of CPO
- Registration of associated persons of CPO
- Registration of swap associated persons of CPO (as necessary)
- Registration of executive officers of CPO (chief compliance officer, etc.)
- Conducting remote training with respect to compliance obligations of associated persons, principals and NFA-registered executive officers
