Introducing Brokers

Our experience working in the Compliance Department at the National Futures Association (NFA) has allowed us to provide Introducing Brokers with the most comprehensive tools to meet all CFTC and NFA compliance and accounting responsibilities. For over 28 years, we have provided a range of services for IBs from expediting and coordinating NFA registration 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 Introducing Brokers on an on-going basis. In fact, we are often asked to serve on educational panels as experts in the futures industry.

Introducing Broker 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
• Financial Expert/Witness Testimony

 

Contact Michael Coglianese CPA