What is FuturesCompli360?

FuturesCompli360 is GiGCXOs' service for futures firms needing registration assistance and compliance support aligned to CFTC and NFA requirements.

Does GiGCXOs help with supervisory procedures for futures firms?

Yes. The service includes supervisory procedures and compliance guidance built around CFTC and NFA expectations.

Can FuturesCompli360 support both launch and ongoing compliance?

Yes. GiGCXOs describes this offering as covering registration, audit, and ongoing compliance guidance.

Who should use FuturesCompli360?

Futures firms and related regulated businesses navigating CFTC and NFA rules can use FuturesCompli360.

Futures Registration

Demystifying the Futures Registration Process

FuturesCompli 360 is a comprehensive project offering for registering as a Futures Commission Merchant (FCM) with the CFTC and NFA — including Form 7-R, compliance frameworks, trade surveillance, and ongoing support.

FCM Registration

Your Gateway to CFTC & NFA Compliance

FuturesCompli 360 assists firms in registering as a Futures Commission Merchant (FCM) with the CFTC and NFA — from Form 7-R through operational launch and ongoing compliance.

Registration Assistance

Preparation and submission of Form 7-R and related CFTC and NFA filings. Drafting and filing the Disclosure Document and Risk Management Program per CFTC regulations. Guidance on minimum net capital requirements and reporting obligations.

Compliance Framework Development

Policies and procedures for FCM operations including segregation of customer funds, record-keeping, and daily reporting. AML/KYC frameworks for futures trading and a robust risk management program compliant with CFTC Regulation 1.11.

Technology Solutions

Deployment of trade surveillance systems to monitor futures trading activities for compliance breaches. Implementation of reporting systems for accurate and timely CFTC and NFA filings.

Exam Prep & Ongoing Monitoring

Pre-audit reviews and preparation for CFTC and NFA inspections. Documentation and procedural reviews for compliance readiness. Support during regulatory audits including deficiency letter responses.

Ongoing Support

Education, Training & Long-Term Compliance

We support your FCM through registration and well beyond — annual certifications, staff training, and continuous regulatory updates.

Comprehensive training for executives and staff on FCM-specific regulations

Updates on changes in CFTC and NFA rules affecting FCM operations

Assistance with annual compliance certifications and policy updates

Regular compliance monitoring and risk assessments

Support during regulatory audits and responses to inquiries

Responses to deficiency letters from CFTC and NFA

Guidance on financial requirements and net capital reporting

Trade surveillance monitoring for futures trading compliance breaches

Customer fund segregation monitoring and controls

Ongoing coordination with NFA and CFTC on regulatory developments

Demystifying the Futures Registration Process

Your Gateway to CFTC & NFA Compliance

Education, Training & Long-Term Compliance

Ready to Launch Your Futures Business?