NFA Compliance

Our experience working in the Compliance Department at the National Futures Association (NFA) has allowed us to provide firms like yours with the most comprehensive tools to help you navigate your way through the complex regulations of the NFA and CFTC. We pride ourselves on staying current on all of the latest accounting, audit, tax, and compliance changes that affect your NFA registration as well as annual compliance responsibilities. In fact we are often asked to serve on educational panels as experts in the futures industry.

NFA Compliance includes:
Registration
• Mock NFA Audits
• Written Operation Procedures
• AML reviews
• Annual Independent Anti-Money Laundering Reviews
• 1-FR review and assistance
• Regulatory Filings and Exemption Consulting
• Automated Order Routing Systems Review
• Financial Expert/Witness Testimony

 

Contact Michael Coglianese CPA