Registration with CFTC and NFA

  • Preparation of all NFA registration forms
  • Customize policies and procedures
  • Liaison with the regulators throughout the registration process
  • Registration categories: RFED, FCM, IB, CTA & CPO
  • Preparation of disclosure documents for CTAs

Regulatory Enforcement & Representation

NFA Business Conduct Committee (BCC) actions, not limited to the following allegations:

  • Carrying accounts by a non-member
  • Failure to supervise
  • Anti-Money Laundering violations
  • Inadequate policies and procedures
  • Representation and defense  against Business Conduct Committee (BCC) actions
  • Failure to implement a business disaster continuity and recovery plan
  • Failure to observe high standards of commercial honor
  • Sales practice violations
  • Cheat, fraud and deceive customers
  • Hypothetical forex results disclaimer
  • Promotional materials containing hypothetical results
  • NFA Member responsibility actions
  • CFTC enforcement actions and investigations

Audit Preparation

  • We prepare you for CFTC and NFA audits
  • Customized mock audit
  • NFA Checklist overview and assessment with recommendation how to property comply with FX rules
  • Representation during NFA audit
  • Representation and defense  against Business Conduct Committee (BCC) actions
  • Investigation counseling

Policies and Procedures

We prepare custom policies and procedures to fit your business model, including policies on:

  • Anti-Money Laundering (AML)
  • Promotional Material and Supervision
  • Enhanced Supervision
  • Business Disaster, Continuity and Recovery Plan (BDCRP)
  • Privacy Policy
  • Electronic  Trading Systems

CFTC / NFA Rules & Regulation

  • Full service compliance with FX rules and regulations
  • Assistance in understanding FX rules and interpretive notices
  • Comment letters in response to FX rules proposals