Quick Contact

Tel: (630) 622 - 0045
Fax: (630) 622 - 0048
Email: fac@futuresaccounting.com

LET EXPERIENCED CPAS AND FORMER NFA AUDITORS HANDLE YOUR ACCOUNTING AND COMPLIANCE

Introducing Broker Services

Independent introducing brokers ("IB") are required to maintain accounting records in accordance with generally accepted accounting principles. Compliance regulations such as net capital computations make it necessary for anyone preparing IB financials to be well versed with complex compliance regulations.

IB ACCOUNTING & TAX
  • Customized monthly financial statements.
  • Two-day completion time.
  • Monthly and monitoring of daily IB Net Capital Requirements
  • Year-end state and federal tax returns for the IB.
  • Consultation and tax planning.
COMPLIANCE SERVICES
  • Compliance examination in accordance with CFTC/NFA rules.
  • Guidance during an NFA/CFTC audit.
  • Preparation of compliance/procedures manuals.
  • Client representation during NFA and CFTC investigations.
  • Assistance in handling customer complaints.
  • Compliance training for managers and brokers.
  • Organizational Guidance.