Compliance Supervisors International, Inc

AccountingUnited States2-10 Employees

Compliance Supervisors International, Inc., established in 1994, is a full service consulting firm specializing in compliance and financial regulatory matters surrounding National Futures Association ("NFA")  and Commodity Futures Trading Commission ("CFTC") rules and regulations.  Our services are provided to futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, and swap dealers.

A wide range of services including:  
 
* On‐site compliance and financial inspections for FCMs, RFEDs, IBs, CPOs, and CTAs that cover rules and regulations governing their business as well as ensuring a sound internal control infrastructure exists; 
* On‐site compliance inspections for FCMs that have branch offices and guaranteed introducing brokers to ensure compliance with NFA Compliance Rule 2‐9; 
* Create compliance policies and procedures manuals and AML Programs ensuring new requirements are implemented for clients on a timely basis; 
* Entity state incorporations/organizations, and CFTC registration and NFA Membership applications; 
* Risk management program annual review for FCMs/RFEDs; 
* Electronic trading platform audits for RFEDs; 
* Anti‐Money Laundering Audits for FCMs and IBs; 
* Anti‐Money‐Laundering and Ethics on‐line training courses (www.training4futures.com); 
* Disclosure Document preparation and filings with NFA; 
* CTA performance track records, fee calculations, and assist with quarterly PR filings in EasyFile; 
* Verification of performance track records; 
* Regulatory accounting, net capital computations and assist with semi‐annual 1‐FR filings with NFA for IBs; 
* Commodity pool administration, related tax services (i.e. partnership tax return and Schedule K‐1 preparation for participants), and assist with quarterly PQR filings in EasyFile; 
* Certified Financial Statement Audits for introducing brokers/commodity pools through a separate 
entity.

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