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REGISTRATION- Prepare all registration forms and applications for the firm and staff, interfacing with the NFA through the approval process.
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COMPLIANCE MANUALS- Assess your firm's needs to prepare individualized customized compliance/proceedures manuals to suite your firms needs.
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AML POLICY- Provide your firm with a written Anti-Money Lauldering policy and training program that is compliant with the US Patriot Act and NFA rule 2-9C.
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PRIVACY ACT- Prepare firm's written privacy policy notice which is required to be distributed to all clients.
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DISASTER RECOVERY- Work with you and your staff in developing your firm's back-up for business continuity and disaster recovery plan as required under NFA rule 2.38
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ACCOUNTING- Set up firm's general ledger/operating accounts online, bookkeeper training, generate income statements, balance sheet, trial balance, general ledger, prepare financial statements 1FR and capital computation as required by CFTC.
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FOREX-Keep your firm fully appraised of the ever changing rules related to the retail foreign exchange business. Prepare weekly NFA FOREX REPORT, calculate alternative risk based capital requirements.
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AML AUDIT- Conduct the required independent onsite review, of firm's adherence to its AML policy and issue written audit report to management pointing out any deficiencies.
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NFA PRE AUDIT- Onsite mock NFA audit to ensure that firm is prepared for actual examination by regulators.
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IB/BRANCH AUDITS- Visit any branch office, guaranteed IB's and non registered forex IB's that NFA has made you responsible for to review proceedures and sales practices. NFA often views an audit done by an "external" auditor as having additional merit because there is no conflict of interest.
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PROMOTIONAL MATERIAL- Review all marketing materials used by the firm to ensure you are in compliance. This ioncludes web-sites, mailings, sales scripts, radio and television advertisements.
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FUND ACCOUNTING- Monthly accounting package providing, balance sheet, income statements, distribution ledger, partner statements, performance tables, fee calculations, K-1 forms.
