Annual Certified Audit Reminders - Introducing Brokers and SWAP IBs, FCMs, CPOs, and Broker Dealers

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Now is an excellent time to contact your auditor to prepare for year end. Contacting and engaging now allows auditors to review financials and perform interim work. It is an opportunity to

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prepare for any changes in operations or accounting problems that is best encountered earlier rather than later since time is of the essence in the futures industry. It also may help minimize costs.

Keep in mind the following 2015 Certified Audit Due Dates:

Independent Introducing Broker and SWAP IBs:

March 31, 2015

Futures Commission Merchant:

March 3, 2015

Commodity Pool Operator:

March 31, 2015

Broker Dealer:

March 3, 2015

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