We are often asked for budgeting and requirements for registering with the National Futures Association (NFA) as a Commodity Pool Auditor (CPO). Summarized below are a few of the requirements. You must first obtain secure access to NFA’s Online Registration…
News
Unique Accounting Aspects of the PPP Loan
Many small businesses including broker dealers, introducing brokers, registered investment advisors and others in the alternative investment space have received loans under the Paycheck Protection Program (“PPP”). The only requirement for most firms is to have less than five hundred…
Compliance Checkup – Annual Introducing Broker Requirements
Summer is a good time to review your annual NFA requirements to make sure you remain in compliance with the National Futures Association. Here are just a few reminders: Cybersecurity – Each member must formalize and implement a written Information…
NFA Pool Audit Stub Period Relief – Reminders
Occasionally, our firm runs into new, start up commodity pools that are unaware of this relatively new regulatory relief that can save them time and money when they are just starting out. If you are a registered commodity pool and…