Alaric Compliance offers a diverse set of solutions to help Commodity Trading Advisers and Commodity Pool Operators engineer their businesses to stay on top of regulatory and compliance obligations. Alaric’s services span the commodity futures business lifecycle, from start-up and CFTC/NFA registration and membership to ongoing compliance and employee/agent monitoring, training, filings and exams.

How We Can Help

The Alaric Compliance team has the experience and proven expertise to help Commodity Trading Advisers and Commodity Pool Operators assess risks, develop compliance policies and procedures, and complete annual NFA filing requirements and examinations, reviews and testing. Our flexible approach allows us to provide ongoing consulting services and support to in-house Chief Compliance Officers (CCOs), or to provide an independent, competent and experienced CCO who acts on behalf of your company.

Services

Full Chief Compliance Officer Outsourcing Function for the Company and/or its Adviser


Compliance Services for Start-Ups

  • NFA/CFTC Registration and Membership
  • Registration of Principals and Associated Persons

Ongoing Compliance Program Support

  • Ongoing Compliance Program Monitoring and Testing
  • Risk and Control Assessments
  • NFA Manual
  • NFA Compliance Training

Examinations, Reviews, Training, Testing

  • NFA Annual Filing Requirements
  • NFA Self-Exam Questionnaire
  • Completion and Filing of Forms CPO-PQR and CTA-PR

Post Litigation Consulting

Related Services

  • CFTC Registration and NFA Membership
  • NFA Self-Exam Questionnaire
  • Mock NFA Examinations
Contact Us
For commodity pool operators or trading advisers, the routing filings are still a big requirement: providing financial disclosures on a timely basis; having cash collateral at a qualified custodian; and accurate trading swap records.”
- GUY F. TALARICO, CEO & FOUNDER, ALARIC COMPLIANCE SERVICES

Related News & Alerts

  • General Compliance Issues faced by NFA Members. > READ MORE
  • Common NFA Registration Deficiencies. > READ MORE
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