NFA/CFTC Compliance Program

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

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.