Futures Compliance Inc

Financial ServicesIllinois, United States2-10 Employees

Futures Compliance Inc is a derivatives compliance consulting firm in the financial services sector, based in Chicago, Illinois. It was founded by Cheryl B Fitzpatrick-Smith, who serves as chief executive officer and has experience guiding the formation and registration of trading firms with U.S. regulators and exchanges. The company serves a client base that includes futures commission merchants, introducing brokers, commodity trading advisers, floor brokers and traders, as well as international trading firms, aiming to help them manage regulatory obligations. Ms. Fitzpatrick previously worked as legal counsel for several futures commission merchants, and she is a licensed attorney who earned her law degree from IIT Chicago-Kent College of Law. 

The firm offers regulatory and compliance services augmented by legal support through the Law Offices of Cheryl B. Fitzpatrick-Smith, handling tasks such as drafting or reviewing contracts, employment matters, and addressing registrations or regulatory actions with bodies like the CFTC, NFA, and FINRA. With a small team, the organization positions itself as a focused provider within the derivatives compliance space, serving clients in Chicago and beyond.

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