RCSI provides practical compliance solutions to your every day compliance needs.
Our team is made up of former Chief Compliance Officers who have front line experience
with NFA inspections.
As former CCOs at Commodity Pool Operators, Commodity Trading Advisors and Introducing
Brokers we have hands on experience with NFA inspections. Let RCSI assist you with
your NFA compliance needs.
Compliance solutions for NFA members include:
• Mock NFA Audits
• Annual NFA Self-Exam Questionnaires
• ORS Administration
• Facilitate payment of fees for initial and ongoing registration
• NFA Membership Registration
• Identification of Associated Persons including NFA filings and licensing
• Assistance with Principals Registration
• Onsite NFA inspection support
• Business Continuity Program tailored to your business
• Anti Money Laundering Program and testing by ACAMS specialist
• Filing of exemptions for Commodity Pool Operators and Commodity Trading Advisors
• Develop Compliance Procedures for your NFA business activities
• Provide a compliance calendar
