Futures Compliance Inc

Financial ServicesUnited States2-10 Employees

Cheryl B Fitzpatrick-Smith is the founder and Chief Executive Officer at Futures Compliance Inc. (FCI), a derivatives compliance consulting firm.  She established this firm to assist FCMs, IBs, CTAs, floor brokers/traders as well as international trading firms with their regulatory and compliance responsibilities. Ms. Fitzpatrick has actively engaged in the formation and registration of trading firms located within and outside of the United States,  with the U.S. regulatory bodies and exchanges.  Prior to this,  she was legal counsel for a number of futures commission merchants handling regulatory and general legal matters. Ms. Fitzpatrick is a licensed attorney, and  received her degree from IIT Chicago Kent College of Law.

An  essential benefit to the compliance services offered by FCI are the legal services available though the Law Offices of Cheryl B. Fitzpatrick-Smith. Knowledge of the law when handling compliance issues is vital and should not be compromised in this regulatory environment. The Law Office offers legal services to futures industry participants, including FCMs, IBs, floor brokers, associated persons or investors requiring assistance, counseling or representation with general or industry legal matters, including drafting or reviewing contracts; help with employment matters; resolving problems with commodity or securities registration  (CFTC, NFA, FINRA)  or, representation in  exchange or regulatory actions and proceedings.

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