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The DTG team has first-hand experience in the following compliance areas:

Net Capital Computations and related CPA services

We have the expertise to assist NFA registered firms with diverse legal challenges, including CPAs and other personnel trained in net capital requirements and segregation of client funds.

Ongoing Compliance

Support Key Features include: Registration; authorship and maintenance of policy and procedures; analysis of new business initiatives and compliance considerations; regulatory training and CFTC updates; audit of recordkeeping requirements and supervisory reports, net capital computations and other accounting services including required CPA certifications.

NFA Registration

The process of NFA registration, although electronically executed, can be time consuming and, at times, errors on submissions do result in delays. Issues such as the definition of principal, associated person, net capital requirements and financial statement presentation, may be incomplete, resulting in literally months of regulatory delays and business opportunities lost. DTG’s experts ask you the correct questions that result in the correct answers the NFA may be seeking.

Creating webinars to educate existing staff on CFTC regulatory issues

Operational Due Diligence Reviews

Regulatory Audits

Creating and implementing policies and procedures

SharePoint Services