Our experts make it easy for you to understand CFTC/NFA compliance regulations.
We can provide a wide range of services:
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.