CTA/CPO Compliance Solutions
Our team assists organizations that carry out business as futures professionals with registration and ongoing Commodity Futures Trading Commission (“CFTC”) compliance obligations.
We specialize in guiding Commodity Pool Operators (“CPO”) and Commodity Trading Advisors (“CTA”) with navigating their compliance obligations and the rules and requirements of the National Future Association (“NFA”) and the Commodity Futures Trading Commission (“CFTC”).
Our CFTC & NFA Compliance Services
Our US Compliance Solutions team provides extensive and continuous support to help your business stay on top of all CFTC and NFA-related operations. Our services include, but are not limited to:
- filing Form 8-R: we can assist with filing Form 8-R, the crucial document for registering individuals with the NFA as Associated Persons, ensuring accuracy and timeliness in submissions.
- implementing policies and procedures: we’ll ensure your policies and procedures are reasonably designed to meet your compliance obligations.
- Form PQR & Form PR filing assistance: we’ll ensure you meet the extensive quarterly and annual Form PQR & Form PR filing requirements.
- reliable support: our expert team will provide NFA annual questionnaire support and ongoing individual NFA registration support as necessary (including Principal & Associated Person registration and maintenance).
- ongoing marketing review and analysis: we’ll conduct a thorough review and analysis of your marketing materials to ensure they meet compliance standards.
- operational support and guidance: we provide hands-on assistance in navigating the complexities of NFA regulations.
- compliance program administration: we’ll take charge of your NFA compliance program so that you can focus on your business’s core activities.
- ongoing compliance communication: Our ongoing communication regarding changes to the NFA rules and regulations are designed to ensure that you stay on top of all compliance changes.
To learn more about our NFA & CTFC registration and compliance services, get in touch with a Waystone Compliance Solutions representative today.