Foreside provides comprehensive and tailored compliance solutions to National Futures Association (NFA) registered entities, including Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs). Our NFA team currently works with a diverse group of NFA-registered and affiliated firms. Foreside’s solutions provide best practices and assist our clients with meeting existing regulatory standards. We work with clients that are operated as a “stand-alone” entity or as part of a larger complex with other NFA-registered entities. Foreside employs skilled compliance professionals who have worked successfully with NFA-registered firms in the alternative and registered investment funds environment. Foreside will:
- Assist clients with registration as a CPO or CTA and the registration of personnel to become principals and/or associated persons of the CPO/CTA
- Develop written supervisory procedures, a customized compliance program, and a risk and organizational matrix for each of your commodity pools
- Assess annual and quarterly NFA obligations and other specific compliance needs
- Train personnel on the requirements of their CPO or CTA compliance program and its regulatory framework, providing insight concerning NFA inspection preparedness
- Serve as security manager
