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National Futures Association (NFA) Compliance Support

CRC provides timely advisory and execution support, enabling CFTC Registered and NFA Member Firms to meet their initial and ongoing compliance responsibilities.

Our support services Services Include:

  • 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
  • NFA Examination

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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.
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