We will also work with you to develop or assist in your handling of the following matters:
- Client account files
- Client disclosure documents and privacy notices
- Business continuity plan which incorporates regulatory concerns
- Annual regulatory filings via the NFA’s Online Registration System
- Annual completion of NFA Annual Self-Exams, including the
- Self-Exam Questionnaire
- Self-Exam Business Continuity Plan Questionnaire
- Self-Exam Anti-Money Laundering Program Questionnaire
- Self-Exam Ethics Training Questionnaire
- Self-Exam Privacy Policy Questionnaire
- Monitoring Continuing Education
- Financial filings
- Responding to Ongoing Questions