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.

Contact Us

Latest Content

DOL Fiduciary Rule Transition Period Extension to 2019 Requested

The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of Applicability for the Department of Labor Fiduciary Rule be extended from January 1, 2018 to July 1, 2019. This court filing included extending the deadlines for the following Prohibited Contract Exemptions: Best Interest Contract Exemption … Continued

SEC Cyber Sweep Highlights Areas In Need of Improvement

The results of the SEC’s second cybersecurity sweep examinations are in, and they paint a picture of an industry that has come to grips with the need to address cybersecurity risk, but where the canvas is incomplete in many respects.

Colorado Joins New York in Mandating Cybersecurity Controls for Financial Institutions

On the heels of the recently adopted New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), Colorado has followed suit with its own set of protections. The Colorado Division of Securities has issued cybersecurity regulations applicable to broker dealers and investment advisers registered with the state, which are codified in Sections 51-4.8 … Continued

Form ADV: What You Need to Know Now to Prepare for October

October 2017 new Form ADV amendments continue the big data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden of answering over 100 separate questions (plus scores more for each private fund) through this … Continued

Mailing List

Subscribe to the Ascendant Compliance email list for the latest compliance resources, conferences, ComplianceCasts™, and more.

Loading form...

Contact Us

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.