Compliance Risk Concepts
Client Login
Compliance Risk Concepts: Senior Compliance Consultants & Executives.
Menu
close

National Futures Association (NFA) Compliance Support

CRC provides timely advisory and execution support, enabling CFTC Registered and NFA Member Firms to meet their initial and ongoing compliance responsibilities.

What We Do

At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.
diverse-multi-ethnic-business-teamwork-overworking-office-meeting-room-analyzing-financial-graphs

Our Support Services includes:

CFTC Registration/ NFA Membership – registration services for introducing brokers, commodity trading advisors, commodity pool operators, futures commission merchants, swap dealers, major swap participants

Compliance Policies and Procedures

Regulatory Filings (Form 8-R, CTA-PR, CPO-PQR)

Anti-Money Laundering Independent Review

Cybersecurity Annual Review

NFA Self-Examination Questionnaire

NFA Examination

Global Inquiries

Send Us A Message

Sending

Copyright Compliance Risk Concepts | All Rights Reserved © 2023 | Privacy Policy
magnifier