GRC Solutions for CFTC/NFA Members

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  1. Who We Serve
  2. GRC Solutions for CFTC/NFA Members

Compliance teams need continuous support and knowledge sharing to stay on top of regulatory initiatives. Our team helps Commodity Futures Trading Commission (CFTC) registrants and National Futures Association (NFA) members to streamline their business and operational processes and improve the quality and effectiveness of their compliance programs.

Our solutions

We provide compliance consulting and managed services to support futures brokerage firms, commodity trading advisors, and commodity pool operation managers with through every stage of their business from registration to policy development to ongoing support.

NFA/CFTC Registration and NFA Membership

The registration or application process can seem lengthy, overwhelming, and daunting. We provide CFTC registration and NFA membership support to fund managers, trading advisors, and brokerage firms across the globe. Our team will guide you through the relevant steps in the registration process and assist with the development and implementation of your commodity interest-related compliance program.

Mock NFA Exams and Compliance Program Reviews

Periodic testing of your firm’s governance and control arrangements, as well as its policies and procedures, is essential to help avoid the cost and reputational risk of future scrutiny and potential enforcement. 

After completing our mock exam, your firm will: know how to prepare for its next NFA exam, be aware of potential deficiencies and corrective actions, and understand how your compliance program stacks up against your peers.

NFA Examination Support

The NFA targets firms for inspections as part of its risk-focused exam strategy. When you are selected to be examined our team can assist your firm before, during, and after the exam by reviewing and organizing requested documents, assisting with deficiency letter response writing. Our team will prepare your firm for an inspection by the NFA’s examination staff by reviewing your firm’s compliance program from a regulator’s perspective.

Policy and Procedure Development

As new rules and regulations are adopted and the regulatory landscape evolves your compliance manual must keep pace or risk leaving your firm exposed. Our team can assist you with a range of topical compliance challenges. 

Managed Services

Gain more time in your day by outsourcing day-to-day compliance tasks that slow you down. Our team can support you with electronic communication reviews, online presence/social media reviews, holistic surveillance, marketing and advertising and financial promotion reviews, expert network chaperoning, regulatory filings, and more. 

Additional Support

Additional services include:

  • NFA self-exam questionnaire reviews
  • Compliance and ethics training
  • Registration of principals and associated persons
  • Performance review services
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Latest insights from our NFA team

CFTC Approves Final Rule Amending Form CPO-PQR

On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Fi

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CFTC and NFA Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors

Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).

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News

ACA Group and Foreside to Join Forces

The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering

The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.

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Upcoming events

Money Laundering Reporting Officer: The Role and Responsibilities - 30 November 2021

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training

Get Your Cyber House in Order

Our speakers will discuss how to tailor your spending and prioritize your budget to meet the needs of your firm and regulatory requirements.

Webcast
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