Teacher and consultant to the futures industry since 1983
Teacher and consultant to the
futures industry since 1983
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Good article about
Steve's Words.. An important referral for all you securities people..
Items you need to improve and protect your FCM or IB... 1. Very important and useful forms and letters for different applications for the FCM and the Introducing Broker. Visit our "forms" page.
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Here is our
2010
audit schedule. Your offices should be included here! FCMs AND IBs... Anti-money laundering, privacy policy, disaster recovery program, new ethics training requirements, even Forex business.. If you don't have a handle on all of the above, you had better contact us. We are still way ahead of the competition when it comes to complete audits, and way behind when it comes to costs! These days, money IS an issue... Give us a call, we can improve your supervision and cut your costs! MORE OF WHAT WE DO AT INVESTMENT REFERENCE In the past 26 years we have prepared several thousands of candidates to take the Series 3 National Commodity Futures Exam as well as several of the Securities Exams. We currently offer classes and correspondence courses in the Series 3, and can help you to find the best source for any information you seek with regards to futures options and securities. Another of our popular services is the preparation of Disclosure Documents, and all the necessary forms required to file to operate as a Commodity Trading Advisor. We offer FREE initial consultation calls at the above phone number, and we will of course answer any Email as soon as we receive it. For the Futures Commission Merchant, Introducing Broker, Branch office, CTA and CPO, Investment Reference conducts NFA style Internal Field Audits. These audits are meant to assist you in the detection and correction of any possible infraction of NFA and CFTC regulations. For a small fee now you could save thousands of dollars in fines later. Unlike most others, we at Investment Reference also include the Anti-Money Laundering audit with our field audits, and offer the AML audit as a "stand-alone" audit for all entities including FCMs. Are you considering becoming an Introducing Broker, or Branch Office? We have been instrumental in assisting in the setup of over 32 Introducing Brokers and Branch Offices. From the smallest request, to paperwork filing, to complete "turn-key" operations, we've done it all. Unlike others, we can have you up-and-running very quickly. In our consulting capacity we are able to handle each and every question. If we can't solve your problem or answer your question, we will kindly direct you to someone who can. Why shop around when all of the necessary resources are at this one address. Give us a call, or email us with your requirements. As always the initial consultation is FREE. Get in touch with us by email.
THERE IS RISK OF LOSS IN TRADING
FUTURES... LOTS OF IT!!
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