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

CTFC/NFA Members