AML Audits

Are you an Introducing Broker (“IB”), Futures Commission Merchant (“FCM”), Forex or Swaps Brokerage?  If you are you probably already know that you have to adhere to Federal Anti-Money Laundering (“AML”) guidelines.  Not only is it required under US Federal law to have sufficient money laundering checks and balances in place, but it is necessary to prevent illicit activity from occurring within your business.

Turnkey Trading Partners (“TTP”) is not only able to draft AML policies which meet Federal, CFTC, NFA, and your personal business requirements, we are able to audit the implementation of your policies.  TTP’s staff has the expertise and experience to come to your office location and review your current policies and procedures to assist you in identifying potential weaknesses in your program.

Under Federal Guidelines you are required to have an independent AML audit conducted at least once annually to ensure that your company’s policies meet the necessary requirements.  The next time you need an examination of your AML procedures contact Turnkey Trading Partners and we’ll be there to assist you in meeting your regulatory requirements.