Annual Review Reminders

  • When was the last time you refreshed your policies and procedures manual? If you have not done so within the past year, please be sure to review your policies against NFA’s latest self-exam checklist. 2021 had many changes that need to be included.
  • Do you have that feeling NFA will be knocking on your door any day now? Give us a call to prepare for your next exam and eliminate your stress before it’s too late!
  • Have you visited all of your branch offices or GIBs in the last 365 days? Do you have a new review plan in place for NFAs updated guidelines?
  • Third Party Performance Verification: are you producing performance figures in house? It’s time to make the switch! Investors prefer third party calculated rates of return and advisory fees over internal numbers. Give us a call today to learn the benefits of working with Turnkey for performance accounting.
  • Monthly Bookkeeping: Are you keeping the necessary books and records to meet your regulatory obligations? NFA is now heavily scrutinizing the accounting of CTA and CPO registrants to ensure compliance with PR and PQR ratios.
  • Have all your annual ongoing training obligations been met? Most training is required annually. For more details about training check our website here.
  • Have you completed your annual AML, Cyber Security, or BCDR review?