Teacher and consultant to the futures industry since 1983
Teacher and consultant to the
futures industry since 1983
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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. |
INTERNAL NFA STYLE FIELD AUDITSThe internal NFA style audit has been performed by Investment Reference for many years. Several of the nations largest Futures Commission Merchants have us perform these audits to insure their Introducing Brokers, as well as their Branch Offices are prepared in the event they are audited by the NFA. The FCMs also have the audits performed by us as a money saving decision. In many cases we can audit offices more cheaply, and since we are an "outside" source, more objectively than their "in-house" staff. Introducing Brokers, Branch Offices, and even CTAs and CPOs should consider an audit. We get "brutally" honest and will inform you of any and all existing or possible infractions of NFA or CFTC rules and regulations. This allows you to be prepared to stand up to the most rigorous regulatory audit. We are ready to discuss in detail all the steps we take in our audit, and explain why we know our audits can stand up to the most rigid compliance department in the world. After your audit is complete, a full report with recommendations will be in your hands within a week. The report will be delivered to the person who ordered the audit, and only that person. As with all our consulting business, strict confidentiality is always the case. Get in touch with us by
email.
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