GRC Solutions for CFTC / NFA Members

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 CFTC and NFA members with monitoring, electronic communication reviews, online presence/social media reviews, holistic surveillance, marketing and advertising and financial promotion reviews, expert network chaperoning, regulatory filings, and more.

Additional services include:

• NFA self-exam questionnaire reviews
• Compliance and ethics training
• Registration of principals and associated persons
• Performance review services