CFTC Registration/ NFA Membership – registration services for introducing brokers, commodity trading advisors, commodity pool operators, futures commission merchants, swap dealers, major swap participants
Compliance Policies and Procedures
Regulatory Filings (Form 8-R, CTA-PR, CPO-PQR)
Anti-Money Laundering Independent Review
Cybersecurity Annual Review
NFA Self-Examination Questionnaire
What We Do
At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.