NFA Compliance Procedures

We assist clients in the development of effective written policies and procedures to address your NFA activities, and mitigate conflicts of interest, reduce firm risk, and maintain legal compliance with regulatory requirements.

Our approach helps to define the roles and responsibilities of your senior management and supervisors while promoting successful business practices.  To accomplish this, ongoing regulatory and support services pertaining to NFA compliance procedures may include:

  • Creation, Review or Enhancement of Compliance Procedures addressing NFA activities.
  • Employee Training on New Policies and Procedures
  • Development of Anti-Money Laundering Policies and Procedures, Including an Annual Independent Audit
  • Compliance with SEC and NFA Recordkeeping Requirements
  • Evaluation and Implementation of Recordkeeping and Document Retention Policies
  • Review and Assessment of Privacy Policies and Procedures Regarding Safeguards for Protecting Confidential Client Information
  • Analysis of Conflicts of Interest Processes