Think your firm has what it takes to pass an NFA examination? Wondering if your books and procedures are properly in order? Want to find out? We offer a comprehensive on-site mock examination program which will be conducted by a previous NFA supervisor. This examination will evaluate and test all of the policies, procedures, and systems you have put in place to make your firm NFA and CFTC compliant. We will custom tailor our mock examination to your firm and work side by side with your staff to ensure that you are prepared for and familiar with the NFA audit process.*
Turnkey Trading Partners mock examinations typically review and test the following areas (where applicable):
-
Registration
-
Supervision
-
Financials
-
General Procedures
-
Promotional/Solicitation
-
Disclosure Documents
-
Performance Calculations
*A Turnkey Trading Partners (“TTP”) mock examination is not a certified audit nor is it a regulatory audit. TTP has designed its mock examination to simulate the practices and tests commonly utilized by the National Futures Association and the Commodity Futures Trading Commission when conducting regulatory examinations. In no means are the results of a TTP audit to be construed as being accurate, certified, or official with regard to your regulatory obligations. Mock examinations should be utilized as a preparatory tool only. Please contact a TTP representative today or read the disclaimer at the bottom of this page for more details.