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

OCIE Examined 15% of RIAs in 2017

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed in its Fiscal Year 2019 Congressional Budget Justification Annual Performance Plan. In the same report, the SEC said the staff will continue to improve its efforts of RIAs, noting that nearly 35 percent of all … Continued

Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls

A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge fund managers when using hypothetical performance or model data in marketing efforts, and how managers relying on such data can avoid enforcement actions. Adam DiPaolo, Senior Consultant in Ascendant’s Private Funds group, is quoted in the … Continued

SEC’s Exam Priorities Offer Insight Into National Exam Program

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s summary here). In addition to defining their examination priorities for the year, the OCIE staff offered some insight into the National Exam Program.  Specifically, they defined the following five principles in executing their exam priorities: … Continued

SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules

SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and hold themselves to high standards. Speaking via videoconference during Securities Regulation Institute’s recent annual conference, he said, “To be blunt, from what I have seen recently, particularly in the initial coin offering (“ICO”) space, they … 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.