Commodity & Forex Trading Advisor (CTA)
Commodity Trading Advisors are required to adhere to the quarterly reporting requirements of the Commodity Futures Trading Commission.
We assist CTAs in the preparation of Performance Tables, Disclosure Documents, Registration and Compliance reviews.
Performance Tables
- Three-day completion time for all performance tables.
- Three-level review process to ensure accuracy.
- Management and incentive fee bills prepared.
- Reviews and audits of performance tables compiled by a third party.
Disclosure
- Futures Accounting and Compliance's (FAC) team consists of former NFA compliance professionals who are well versed with all regulations and interpretations governing the preparations and distribution of disclosure documents.
- Disclosure documents are updated every twelve months at no cost to you.
- Solicitation material is designed to maximize your marketing efforts.
Registration & Formation
- We assist with the online registration of the Firm and the associated persons and principles.
- FAC's compliance team will personally meet with NFA's registration personnel to discuss and quickly resolve registration deficiencies.
Compliance Services
- Compliance examination in accordance with CFTC/NFA rules.
- Review of all advertising material to insure compliance.
- Preparation of compliance/procedures manuals including ISSP and Disaster Recovery procedures.
- Client representation during NFA and CFTC investigations.
- Assistance in handling customer complaints.
- Compliance training for managers and brokers.
- Organizational Guidance.
Futures Accounting & Compliance
2182-D Gladstone Court
Glendale Heights, IL 60139
Copyright © 2019 Futures Accounting & Compliance Inc.
All Rights Reserved.