NFA Member Services

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NFA Member Services

Foreside provides comprehensive and tailored compliance services to Commodity Pool Operators (CPOs) and other National Futures Association (NFA)-registered entities. Our services span a broad spectrum, including assisting our clients in meeting NFA and Commodity Futures Trading Commission (CFTC) regulatory standards to ensuring that they are apprised of industry best practices. Foreside employs seasoned compliance professionals and attorneys who have worked extensively with NFA-registered firms in the Alternative and Registered Investment Funds environment.

Foreside’s CPO services are generally offered in three stages, shown below. We will also accommodate other service models to meet the needs of clients and business partners in this space.

Development of a CPO Compliance Program

We will work with your firm to develop Written Supervisory Procedures (WSPs) and a customized Compliance Program Risk and Organizational Matrix for each of your commodity pools.

If you have an existing compliance program that requires modification to incorporate rules and regulations of a CPO, we will conduct a gap analysis aimed at leveraging your firm’s existing policies and procedures. This will allow you to administer a robust compliance program while avoiding the costly, fixed expenses associated with hiring in-house compliance specialists and attorneys.

Compliance Program Training and Education

We will train your personnel on the requirements of the Compliance Program and the regulatory framework of CPOs, providing insight concerning NFA inspection preparedness.

On-Going CPO Compliance Consulting

We will assist you with your specific compliance needs, including each CPO’s annual & quarterly NFA obligations, in addition to:

  • Annual questionnaires and registration updates
  • Self-examination checklists
  • Business continuity reviews
  • Ethics training sessions, led by our professionals and tailored to your firm’s operating environment
  • Quarterly CPO filings
  • Financial statement filings
  • Mock NFA examinations