Futures and Derivatives Regulatory Consulting

Over the last 30 years we have been hired by firms like yours to minimize your regulatory risks. We have been hired by various firms and their legal counsel as an expert witness and as an independent compliance consultant in all matters relating to futures and derivatives.

NFA Compliance includes:

  • Registration
  • Mock NFA Audits
  • Written Operation Procedures
  • AML reviews
  • Annual Independent Anti-Money Laundering Reviews
  • 1-FR review and assistance
  • Regulatory Filings and Exemption Consulting
  • Automated Order Routing Systems Review
  • Financial Expert/Witness Testimony
  • CYBER SECURITY