Welcome to the culmination of our seven-part series on Building a Gold Standard Compliance Program. In Session 7, we turn our attention to the ongoing challenge of updating and maintaining your compliance program to meet new and evolving business demands.
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.
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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.
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.
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.
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.
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.
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.
Latest insights from our NFA team
On September 16, 2021, the National Futures Association (“NFA”) issued a Notice to Members I-21-28 regarding changes to the definition of a branch office under NFA Interpretive Notice 9002. The rule was a response from the NFA in the recent trend in hybrid work environments as more employees are working from their homes.
Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.
ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.