Futures Commission Merchants

Our experience working in the Compliance Department at the National Futures Association (NFA) has allowed us to provide Futures Commission Merchants (FCM) with all of the tools to meet their CFTC, NFA, and PCAOB compliance and accounting responsibilities. For over 28 years, we have assisted FCMs with services such as coordinating and expediting NFA registrations to completion of annual tax returns. We pride ourselves on staying current on all of the latest accounting, audit, tax, and compliance changes that affect you. In fact we are often asked to serve on educational panels as experts in the futures industry.

Futures Commission Merchant services include:

• Annual Certified Audits
• NFA Registration Audits
• NFA Registration and Compliance Consulting
• Operating Procedures Manual (AML, Disaster Recovery, Operating Procedures, Ethics, Privacy Policy, Branch Office Procedures et. al)
• Annual Independent Anti-Money Laundering Reviews
• 1-FR review and assistance
• Quickbooks Implementation & Training
• Tax Preparation
• Mock NFA Compliance Audits & Preparation
• Regulatory Filings and Exemption Consulting
• Automated Order Routing Systems Review
• Financial Expert/Witness Testimony

Contact Michael Coglianese CPA