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NFA/CFTC Compliance & Regulatory Auditing

NFA/CFTC Compliance
Are your policies and procedural manuals up-to-date? The rules and regulations of the National Futures Association (NFA) and the Commodity Futures and Trading Commission (CFTC), as well as the exchanges and boards of trade are demanding, complex and rapidly changing. Alan Lash, CPA can work within your operational structure and with your personnel to identify the regulatory needs and requirements of your financial institution.

Recordkeeping and financial reporting are just some of the services that we advise on. Our consultants can help you ensure that the firm is in regulatory compliance, is able to provide adequate and timely financial reporting and is up-to-date on any new rules and regulations of the futures industry. Learn more in our Regulatory Corner.

Regulatory Auditing
Is it that time of the year? Are you ready for your regulatory audit? Ensuring that your firm is in compliance with the rules and regulations of the NFA and the CFTC can be an exhausting and grueling process. Let Alan Lash, CPA walk you through the requirements and the regulatory audit process.

Our consultants can also work with your personnel to enhance internal audit procedures. We may thoroughly review your Compliance Manual and Anti-Money Laundering (AML) procedures. Every financial institution has unique challenges when it comes to preparation for a regulatory audit. Learn more about our Business Solutions and read about our customized approach and flexibility as well as our Internal Control Evaluation.