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Futures Compliance Inc. Consulting Services

  • 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


Law Offices of Cheryl B. Fitzpatrick-Smith,

licensed in State of Illinois Only

  • 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)

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