NFA / CFTC Compliance

Contact Us

Please contact us to obtain more information on any of the above services.

London:   +44 (0)20 7958 9127

New York:  +1 (646) 751 8726

Email: compliance@robertquinn.co.uk

Our experts make it easy for you to understand CFTC/NFA compliance regulations.

We can provide a wide range of services:

Registration

We offer a premium service to manage your registration, draft the content to meet CFTC/NFA expectations, communicate with the regulator and provide the appropriate policies and procedures. We also provide the training you need.

Ongoing Monitoring & Support

We provide a wide range of CFTC/NFA compliance monitoring services where we visit you on a weekly, monthly or quarterly basis. We also can provide Chief Compliance Officer support in certain situations. We typically like to work with clients on an ongoing basis because it allows us to better understand your business.

We kick off our ongoing monitoring services with a comprehensive initial assessment to learn about your business and identify any priorities.

Audits and Projects

We can undertake mock audits on all or part of your business. Examples of recent reviews and advice include:

  • Self-Examination Questionnaire
  • NFA vs FCA Gap Analysis
  • Disclosure Documents to Clients
  • Advertising Requirements
  • CPO-PQR and CTA-PR Reporting
  • Conflicts of Interest
  • NFA Reporting

Policies and Procedures

We can provide you with a range of comprehensive policies and procedures drafted by our experts and where necessary, integrate them into your FCA compliance programme.

“We are never made to feel we are on the clock”

Partner, London based family office