GRC Solutions for CFTC/NFA Members

Compliance teams need continuous support and knowledge sharing to stay on top of regulatory initiatives. Our team helps Commodity Futures Trading Commission (CFTC) registrants and National Futures Association (NFA) members to streamline their business and operational processes and improve the quality and effectiveness of their compliance programs.

Our solutions

We provide compliance consulting and managed services to support futures brokerage firms, commodity trading advisors, and commodity pool operation managers with through every stage of their business from registration to policy development to ongoing support.

NFA/CFTC Registration and NFA Membership

The registration or application process can seem lengthy, overwhelming, and daunting. We provide CFTC registration and NFA membership support to fund managers, trading advisors, and brokerage firms across the globe. Our team will guide you through the relevant steps in the registration process and assist with the development and implementation of your commodity interest-related compliance program.

Mock NFA Exams and Compliance Program Reviews

Periodic testing of your firm’s governance and control arrangements, as well as its policies and procedures, is essential to help avoid the cost and reputational risk of future scrutiny and potential enforcement. 

After completing our mock exam, your firm will: know how to prepare for its next NFA exam, be aware of potential deficiencies and corrective actions, and understand how your compliance program stacks up against your peers.

NFA Examination Support

The NFA targets firms for inspections as part of its risk-focused exam strategy. When you are selected to be examined our team can assist your firm before, during, and after the exam by reviewing and organizing requested documents, assisting with deficiency letter response writing. Our team will prepare your firm for an inspection by the NFA’s examination staff by reviewing your firm’s compliance program from a regulator’s perspective.

Policy and Procedure Development

As new rules and regulations are adopted and the regulatory landscape evolves your compliance manual must keep pace or risk leaving your firm exposed. Our team can assist you with a range of topical compliance challenges. 

Managed Services

Gain more time in your day by outsourcing day-to-day compliance tasks that slow you down. Our team can support you with electronic communication reviews, online presence/social media reviews, holistic surveillance, marketing and advertising and financial promotion reviews, expert network chaperoning, regulatory filings, and more. 

Additional Support

Additional services include:

  • NFA self-exam questionnaire reviews
  • Compliance and ethics training
  • Registration of principals and associated persons
  • Performance review services
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News

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering

The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.

ACA Group and the Investment Adviser Association Announce Strategic Partnership

ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.

Upcoming events

Lessons Learned from 2021's Scariest Cyber Breaches

The dramatic increase in sophistication and global reach of cyber incidents in 2021 has led cybersecurity to be a growing concern for organizations of all sizes. Join us for the horrifying retelling of the scariest cyber incidents of the past year.

Webcast

Get Ready to Comply: SEC Marketing Rule Preparation Timeline

The compliance date for the SEC's New Marketing Rule is November 4, 2022. With 1 year to go, ACA’s team of experts have put together a suggested preparation timeline guide to help firms prepare to implement the changes necessary to comply.

Webcast

Senior Management Obligations under the SM&CR - 9 November 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training