Robert Quinn Consulting’s experts make it easy for you to understand CFTC/NFA compliance regulations.

We can provide a wide range of services:

NFA Registration

Our senior consultants will manage your NFA registration, which includes
• Draft the application to meet CFTC/NFA expectations
• Undertake a gap analysis of what is needed
• Help schedule exams and fingerprints
• Help communicate with the regulator
• Policies and procedures
Compliance training

Ongoing Monitoring & Support

We provide a wide range of CFTC/NFA compliance monitoring services where we visit you on a weekly, monthly or quarterly basis. We typically like to work with clients on an ongoing basis so that we can advise you in a pragmatic and commercial way.
We kick off our ongoing monitoring services with a comprehensive initial assessment with two consultants to learn about your business and identify any priorities.

Mock Audits and Reviews

We can undertake mock audits on all or part of your business. Examples of recent reviews and advice include:

• Self-Examination Questionnaire
• NFA vs FCA Gap Analysis
• Disclosure Documents to Clients
• Advertising Requirements
• CPO-PQR and CTA-PR Reporting
• Conflicts of Interest
• NFA Reporting

Policies and Procedures

Additionally, we can provide you with a range of comprehensive policies and procedures drafted by our experts. These include:

• Compliance Manuals
• Compliance Monitoring Program
• Aggregation & Allocation Policy
• Conflicts of Interest
• Dealing Errors Policy
• Order Execution Policy
• Valuation Policy
• Risk Management Policy
• Research Policy
• Data Security, Cybersecurity and Privacy

Robert Quinn Consulting

Robert Quinn Consulting is a boutique compliance consulting firm providing high-touch, high-value excellence to help firms build their business in a pragmatic and commercial way. We are fluent in most U.S. and European regulations and provide integrated compliance advice in a thoughtful way that our competitors do not.

We view ourselves as a partner in your business and as trusted advisor, we excel at going the extra mile to provide you with exceptional customer service. Our solutions are designed with your best interests in mind. With 10 years under our belt, our long-term clients and competitors alike will tell you, “Robert Quinn Consulting punches far above their weight.”

What Our Clients Say About Us