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NFA Consulting

Foreside provides comprehensive and tailored compliance solutions to National Futures Association (NFA) registered entities, including Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs). Our NFA team currently works with a diverse group of NFA-registered and affiliated firms. Foreside’s solutions provide best practices and assist our clients with meeting existing regulatory standards. We work with clients that are operated as a “stand-alone” entity or as part of a larger complex with other NFA-registered entities. Foreside employs skilled compliance professionals who have worked successfully with NFA-registered firms in the alternative and registered investment funds environment. Foreside will:

  • Assist clients with registration as a CPO or CTA and the registration of personnel to become principals and/or associated persons of the CPO/CTA
  • Develop written supervisory procedures, a customized compliance program, and a risk and organizational matrix for each of your commodity pools
  • Assess annual and quarterly NFA obligations and other specific compliance needs
  • Train personnel on the requirements of their CPO or CTA compliance program and its regulatory framework, providing insight concerning NFA inspection preparedness
  • Serve as security manager

why foreside makes sense

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partnership for growth

We provide our clients the most innovative offerings that help drive their business forward. 

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Consultative + Comprehensive

We see regulation as a catalyst for innovation. 

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transformative tech

We apply best-in-class technology to address today’s regulatory reality and drive operational efficiency.