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FuturesCompli360™
Your Gateway to CFTC and NFA Compliance for Futures Trading Success.
FuturesCompli360™ is a comprehensive project offering designed to assist firms in registering as a Futures Commission Merchant (FCM) with the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA). This project provides expert guidance to navigate the regulatory landscape and meet all compliance requirements for operating in the futures market.
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Creation of policies and procedures tailored to FCM operations, including segregation of customer funds, record-keeping, and daily reporting.
Assistance in implementing AML/KYC frameworks suitable for futures trading activities.
Development of a robust risk management program to comply with CFTC Regulation 1.11.
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Comprehensive training for executives and staff on FCM-specific regulations and operational requirements.
Updates on changes in CFTC and NFA rules affecting FCM operations.
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Pre-audit reviews and preparation for CFTC and NFA inspections.
Documentation and procedural reviews to ensure compliance readiness.
Support during regulatory audits, including responses to inquiries and deficiency letters.
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Assistance with annual compliance certifications and updates to policies and procedures.
Regular compliance monitoring and risk assessments to maintain adherence to regulatory standards.
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Preparation and submission of Form 7-R and related filings to the CFTC and NFA.
Assistance with drafting and filing the firm’s Disclosure Document and Risk Management Program as required by CFTC regulations.
Guidance on financial requirements, including minimum net capital and reporting obligations.
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Deployment of trade surveillance systems to monitor futures trading activities for compliance breaches.
Implementation of reporting systems to ensure accurate and timely filings with the CFTC and NFA.