Futures compliance manual

futures exchanges. 3) Each Member should review its list of customers and, if there is any indication that a customer may be engaged in commodity interest business, the Member should inquire as to its registration and membership status. 4) NFA Compliance Rule 28(d) requires Members who accept an File Size: KB. Compliance Requirements for Futures Commission Merchant (FCM) Applicants. Firms applying as a futures commission merchant (FCM) have a financial filing requirement (either a Form 1-FR-FCM or a FOCUS report), which can be met in one of the following ways. A financial statement certified by an independent public accountant as of a date not more than 45 days prior to the date on which such. Futures Compliance Inc. Consulting Services.. Compliance Policies/Procedures. Procedures Manual. Disclosure Documents. Registration of Entities, APs, Principals, Training Brokers, Branch Managers and Supervisory Personnel. Anti Money Laundering Policies/Procedures and AML Review. Specialty Compliance Audits.

When assessing your compliance function through the lens of strategic foresight, it becomes apparent that the futures of compliance are complex, dynamic, and uncertain. compliance officer to certify annually with regard to its implementation, is in compliance with NFA Rules Regulations. In addition, the Firm, has supervisory control procedures that test and verify that its supervisory procedures are reasonably designed to achieve compliance with applicable securities laws and regulations and FINRA rules. Compliance Manual or Manual: This document, with the compilation of the Compliance Policies, available to the general public. PEP ou PPE: Politically Exposed Person, in accordance with the definition in CVM Instruction / Securities: shares, convertible securities (debentures), warrants, derivatives (exchange- or.

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