Other NFA Services

We will also work with you to develop or assist in your handling of  the following matters:

  • Client account files
  • Client disclosure documents and privacy notices
  • Business continuity plan which incorporates regulatory concerns
  • Annual regulatory filings via the NFA’s Online Registration System
  • Annual completion of NFA Annual Self-Exams, including the
    • Self-Exam Questionnaire
    • Self-Exam Business Continuity Plan Questionnaire
    • Self-Exam Anti-Money Laundering Program Questionnaire
    • Self-Exam Ethics Training Questionnaire
    • Self-Exam Privacy Policy Questionnaire
  • Monitoring Continuing Education
  • Financial filings
  • Responding to Ongoing Questions