Registration Coverage
Your Gateway to CFTC & NFA Compliance
DerivativesCompli 360 supports registration and launch planning for FCMs, introducing brokers, commodity pools, commodity trading advisors, and prediction market businesses — from filings and supervisory design through operational readiness and ongoing compliance.
Registration Assistance
Preparation and submission of the core CFTC and NFA filings required for FCMs, introducing brokers, commodity pools, commodity trading advisors, and prediction market businesses. Guidance on disclosure documents, principal and associated person filings, membership applications, and regulatory reporting obligations.
Compliance Framework Development
Policies and procedures tailored to the specific derivatives model you are launching, including customer protection controls, disclosure and promotional review, recordkeeping, supervisory structures, AML/KYC, conflicts management, and risk programs aligned to CFTC and NFA expectations.
Technology & Operations
Implementation support for trade and communications surveillance, books and records workflows, exception management, and reporting processes so your derivatives business is operationally ready from day one.
Exam Prep & Ongoing Monitoring
Pre-audit reviews and preparation for CFTC and NFA examinations. Documentation, procedural reviews, mock testing, and support responding to inquiries or deficiency items after launch.