CPOs/CTAs

Consulting Services

Ascendant Compliance Management offers a range of services to Commodity Pool Operators/Commodity Trading Advisers, as well as those relying on exemptions from CPO/CTA regulation:

  • Development and Review of NFA Policies and Procedures
  • General consultation on CFTC/NFA regulatory compliance
  • Assistance with CPO-PQR filings and exemption requests
  • Guidance on completing Self-Examination Questionnaires
  • Due Diligence on target acquisitions of NFA-regulated firms
  • Reviews of Disclosure Documents and Performance Presentations
Continuing Education and Training

We provide ongoing support for your Associated Persons either on site or via ComplianceCasts on topics that are timely and relevant to NFA-regulated firms.

NFA Registration

Ascendant can assist your firm with NFA registrations and filings to ensure that you comply with Commodity Futures Trading Commission and NFA guidance. We can assist with:

  • Completing Form 7-R
  • Completing annual questionnaires (including self-exam questionnaires)
  • Completing Form 8-R
  • Assistance with proficiency requirements
  • Assistance with filing exemption requests, such as those allowed by Regulations 4.5, 4.7 and 4.13
  • Developing appropriate policies and procedures

Whatever your needs, Ascendant will work with you to make compliance a source of strength.

Please call 1-860-435-2255 for more information.

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Latest Content

How Do You Supervise for SEC Pay-to-Play Violations?

If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it, three recent Settlement Orders against large investment advisers for “over de minimis” political contributions provide some insight regarding one of the prohibitions: Contributions by Covered Associates to certain Government Officials over the specified Exception amount (capitalized words are terms in the … Continued

Do your Fund Documents Clearly Disclose Receipt of Accelerated Monitoring Fees?

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With New Risk Alert, SEC Doubles Down on Best Execution

On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by investment advisers. Advisers have an obligation to seek best execution of client transactions, taking into consideration quantitative factors such as execution quality and commission rate, as well as more qualitative factors such as the value … Continued

The Cost of Compliance: Understanding and Leveraging Resources

For compliance officers, obtaining the necessary tools and resources to build an effective compliance program can be costly and difficult to implement. How do you distinguish the best in class, the most cost-efficient and effective for use in your program? In this ComplianceCast, speakers David Porteous of Faegre Baker Daniels and Korrine Kohm of Ascendant … Continued

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Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.