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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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.