Swap Dealers

Our experience working in the Compliance Department at the National Futures Association (NFA) has allowed us to provide Swap Dealers with the education and compliance tools they need since the implementation of Dodd-Frank. Since the implementation of the Dodd-Frank Act, we have assisted many Swap Dealers with everything from NFA registration and compliance consulting to completion of annual tax returns. We pride ourselves on staying current on all of the latest accounting, audit, tax, and compliance changes that affect Swap Dealers. In fact, we are often asked to serve on educational panels as experts in the futures and swap industry.

Swap Dealers services include:

  • Annual Certified Audits
  • NFA Registration Audits
  • NFA Registration and Compliance Consulting
  • Operating Procedures Manual (AML, Disaster Recovery, Operating Procedures, Ethics, Privacy Policy, Branch Office Procedures et. al)
  • Annual Independent Anti-Money Laundering Reviews
  • 1-FR review and assistance
  • Quickbooks Implementation & Training
  • Tax Preparation
  • Mock NFA Compliance Audits & Preparation
  • Regulatory Filings and Exemption Consulting
  • Financial Expert/Witness Testimony