General Services

Providing financial industry firms and professionals with turnkey compliance solutions.

While our goal is to provide our clients with turnkey solutions – which ultimately saves them time and money- we also realize that every customer is different.  In order to determine what is best for your business, we first act as consultants – advising you on how to best move forward based on your specific needs.

We can provide support in all of the following areas for CFTC and NFA regulated CTA, CPO, IB, GIB, FCM, FDM, MSP, SD, Swap, and forex firms*:

Registration Services

Broad Registration Questions, Series 3, 30, 31, 32 and other Study Materials, Best Practice Consulting, Compliance Preparation, Corporate/Strategic Planning

Compliance Outsourcing

General Procedures, Disclosure Documents, Offering Documents, Private Placement Memorandums, Agreements, AML Audits, Branch Office Audits, Promotional Material Reviews, Mock Regulatory Examinations, CTA/CPO and Accounting Reconciliations, Regulatory Research, General Consulting

Accounting

Financial Reporting, Performance Calculations, Brokerage Book Keeping, CTA Composites, Capsules, NAV Calculations, Invoicing, Fee Splits and Broker Payouts

Marketing & PR

Website, Brand Development, Press Releases, Search Engine Optimization, Business Plan Assistance, Industry Introduction, Sales Best Practices

Education

CFTC/NFA Ethics and Anti-Money Laundering Training, Custom Brokerage Training, New Hire Compliance Training, Regulatory Staff Updates

Legal

We can refer you to competent derivatives, CFTC, NFA knowlegable law firms that can assist with Litigation, Formation Documents, Liability Consulting, Business Planning, General Council, or other matters we are unable to support internally.

Portfolio Risk Management

Position Management, Portfolio Allocations, Fund of Fund Trade Management, Financial Statistics, Stress Testing, Portfolio Risk Management

*If you require operational, technical, or regulatory services which are not listed above don’t fret!  Please contact us directly to discuss your specific requirements further. Chances are we have or will be able to provide a solution for you!