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- COMPLETE COMPLIANCE SOLUTIONS- CCG can act as your Virtual Compliance Office (VCO) - a way to allocate expenses in an effective manner while gaining access to a highly qualified group of consultants that will perform all the duties of full time compliance staff.
- REGISTRATION- Prepare all registration forms and applications for the firm and staff, interfacing with the NFA/FINRA through the approval process.
- COMPLIANCE MANUALS- Assess your firm's needs and prepare customized compliance/supervisory procedures manuals according to regulatory requirements.
- AML POLICY- Provide your firm with a written Anti-Money Laundering policy and training program that is compliant with the US Patriot Act and NFA/FINRA requirements.
- AML AUDIT- Conduct the required annual independent onsite review, of firm's adherence to its AML policy and issue written audit report to management pointing out any deficiencies. Satisfy you SRO with a truly independent required third party audit preformed by a CAMS certified AML Specialist.
- PRIVACY ACT- Prepare firm´s written privacy policy notice which is required to be distributed to all clients.
- DISASTER RECOVERY- Work with you and your staff in developing your firm's back-up for business continuity and disaster recovery plan as required under NFA/FINRA regulations.
- ACCOUNTING- Set up firm´s general ledger/operating accounts online, bookkeeper training, generate income statements, balance sheet, trial balance, general ledger, prepare financial statements 1FR and capital computation as required by CFTC/FINRA
- FOREX-Keep your firm fully appraised of the ever changing rules related to the retail foreign exchange business. Prepare daily NFA FOREX REPORT, calculate alternative risk based capital requirements.
- NFA/FINRA PRE AUDIT- Onsite mock NFA/FINRA/SEC audit to ensure that firm is prepared for actual examination by regulators. IB/Branch office audits also available.
- CTA Disclosure Documents- Assist with writing DDOCS in accordance with CFTC/NFA requirements, including preparation of performance tables.
- PROMOTIONAL MATERIAL- Review all marketing materials used by the firm to ensure you are in compliance. This includes websites, mailings, sales scripts, radio and television advertisements.
- FUND ACCOUNTING- Monthly accounting services including: balance sheet, income statements, distribution ledger, partner statements, performance tables, fee calculations, K-1 forms.
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