Robert Quinn Consulting’s experts make it easy for you to understand CFTC/NFA compliance regulations.
We can provide a wide range of services:
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.”
FCA Compliance (UK)
Let us help you efficiently manage your FCA authorisation and ongoing obligations with experienced consultants.
NFA / CFTC Compliance (UK)
We specialise in integrating your derivatives and commodities business into your European controls and procedures.
Senior Managers & Certification Regime (SMCR)
Let us help you save time and map out your firm’s key individuals and responsibilities under SMCR.
We can host your FCA regulated business and undertake your FCA and European obligations efficiently.
With ten years’ experience we can expertly translate all aspects of your SEC registration and ongoing U.S. obligations.