Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
Compliance teams need continuous support and knowledge sharing to stay on top of regulatory initiatives. Our team helps Commodity Futures Trading Commission (CFTC) registrants and National Futures Association (NFA) members to streamline their business and operational processes and improve the quality and effectiveness of their compliance programs.
We provide compliance consulting and managed services to support futures brokerage firms, commodity trading advisors, and commodity pool operation managers with through every stage of their business from registration to policy development to ongoing support.
The registration or application process can seem lengthy, overwhelming, and daunting. We provide CFTC registration and NFA membership support to fund managers, trading advisors, and brokerage firms across the globe. Our team will guide you through the relevant steps in the registration process and assist with the development and implementation of your commodity interest-related compliance program.
Periodic testing of your firm’s governance and control arrangements, as well as its policies and procedures, is essential to help avoid the cost and reputational risk of future scrutiny and potential enforcement.
After completing our mock exam, your firm will: know how to prepare for its next NFA exam, be aware of potential deficiencies and corrective actions, and understand how your compliance program stacks up against your peers.
The NFA targets firms for inspections as part of its risk-focused exam strategy. When you are selected to be examined our team can assist your firm before, during, and after the exam by reviewing and organizing requested documents, assisting with deficiency letter response writing. Our team will prepare your firm for an inspection by the NFA’s examination staff by reviewing your firm’s compliance program from a regulator’s perspective.
As new rules and regulations are adopted and the regulatory landscape evolves your compliance manual must keep pace or risk leaving your firm exposed. Our team can assist you with a range of topical compliance challenges.
Gain more time in your day by outsourcing day-to-day compliance tasks that slow you down. Our team can support you with electronic communication reviews, online presence/social media reviews, holistic surveillance, marketing and advertising and financial promotion reviews, expert network chaperoning, regulatory filings, and more.
Latest insights from our NFA team
On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Fi
Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).
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ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.
The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.
Financial services providers that hold or control client money or assets must follow specific rules outlined in the Financial Conduct Authority’s (FCA) Clients Assets Sourcebook (CASS). This course is specifically designed to assist teams in dealing with client money audits and the client assets report, as well as helping them stay up to date with statutory and regulatory obligations in this complicated area.