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General Procedures

Ethics, AML, and Disaster Recovery

 

Turnkey Trading Partners has the experience and know how you’re looking for to assist you with any of your procedural needs.  Our staff has the ability to write, amend, and update firm procedures so that they are properly designed to meet the spirit and intentions of NFA’s rules and the CFTC’s regulations.  Turnkey Trading Partners can quickly provide and draft procedures for any request; however the following are examples of the most common types of procedures requested and available to our clients:

• CTA/CPO Disclosure Documents

• AML Procedures

• Sales Practice Procedures

• Social Networking Media Procedures

• Supervisory Procedures

• Ethics Procedures

• Disaster Recovery Plans

• Operational Procedures

• Order Handling Procedures

 

If you have any procedural needs large or small contact Turnkey Trading Partners today.  Our staff will be sure to work with you to implement specifically tailored company policies that fit your unique business.

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Testimonials

Turnkey Trading Partners has been there each and every time I've needed them. The staff is incredibly responsive and knows how to get the job done. I probably could have never gotten my disclosure document approved if it wasn't for them. As far as cost and competency are concerned there's no one better.
Joe I.
CTA

 

Turnkey Trading Partners (“TTP”) cannot assist your firm with matters that a CFTC registered, NFA Member principal or associated person is required to attend to. We are always able to offer your firm assistance; however please be advised that in certain situations and environments we will not be eligible to communicate directly with a regulatory authority on your behalf. With respect to any Turnkey Trading Partners service, correspondence, or written advice please be advised that TTP is not licensed to practice law in any state and under no circumstance shall you use, represent or construe the advice given by TTP to constitute legal advice or a legal opinion. TTP is also not licensed in any state as a certified public accountant and as such you should not use, represent, or construe the advice given by TTP to constitute a certified accounting or tax opinion. Additionally, we inform you that a regulatory agency may not adopt the opinion of TTP on any particular regulatory matter with respect to which TTP renders advice, regardless of any understanding of TTP as an expert in securities or commodities compliance consulting.

 

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