Futures Compliance Inc. Consulting Services

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• Compliance Policies/Procedures

• Procedures Manual

• Disclosure Documents

• Registration of Entities, APs, Principals,

• Training Brokers, Branch Managers and Supervisory Personnel

• Anti Money Laundering Policies/Procedures and AML Review

• Specialty Compliance Audits

• Promotional Material Review

• Cyber Security Program

• Identity Theft Program

• Risk Management Program/Review

 

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Law Offices of Cheryl B. Fitzpatrick-Smith,

licensed in State of Illinois Only

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• Disciplinary Issues

• Registration Problems with NFA or CFTC

• NFA/CFTC /FINRA Statutory

• Regulatory problems found by NFA/CFTC/Exchange (CME, CBOT, etc.) Actions

• Business Conduct Committee Actions

• Audit problems

• Employment/Non-Compete Confidentiality

• Industry Agreements (Clearing, IB , Broker Agreements)

• Contract Review and Negotiation

• Employment or AP Independent Contractor Legal Issues

• Exchange Actions

• Arbitration Actions

• CFTC Letters (Exemptive Interpretative, No Action)