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

Custody Concerns Continue

You timely filed your Form ADV within 90 days of fiscal year end, but did you properly answer all the questions related to custody? Not surprisingly, the Form remains confusing for many advisers, as does application of the Custody Rule itself. The SEC has issued guidance, letters to the industry, alerts and FAQs, but things … Continued

Blockchain Isn’t Hot Sauce

Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference  I started telling people that blockchain isn’t hot sauce in mid-2017 to help explain why initial coin offerings (ICOs) were just the latest form of unregulated, online gambling. In November 2017, with Bitcoin nearing a high … Continued

The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators

This ComplianceCast will discuss how firms can mitigate risk by having effective disclosure in their Form ADV Brochure. Our panelists will be CSS Ascendant Senior Consultant Ariana Monchick and Jessica Matelis, Partner at Foley & Lardner and former Senior Counsel at the SEC Division of Enforcement. They will discuss: Required disclosures The types of conflicts … Continued

Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance Conference 2019 was a forum for the discussion of future potential rulemaking. Cybersecurity and Fiduciary Rule considerations were headline topics, with custody and marketing right behind. The following is a summary of key issues discussed … 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.