Commodity Trading Advisors

Commodity Trading Advisors are faced with multiple pressures to maintain successful trading programs, meet regulatory and operational requirements and developing a track record to fuel longer-term growth. For firms attempting to attract institutional investors, a strong operational framework is critical to boosting investor confidence, with retaining competent compliance, legal and accounting support top of the agenda,

With an ever-changing regulatory landscape and evolving work environments arising from the COVID-19 pandemic, firms face a need to rapidly identify risks associated with their operations and establish effective, scalable controls.

Providing specialist support for CTAs

For firms just starting out or those with a more established business, our specialist team are able  to help you meet your regulatory obligations. With experience in designing and administering compliance programs and first-hand regulatory experience, we provide advice to a diverse and international client base spanning exchanges, central clearing counterparties, central security depositories, trading platforms, benchmark administrators, investment banks, specialist brokers and proprietary trading firms.

We provide:

Targeted support for early-stage organisations

We’ll help you understand your regulatory obligations and obtain approval from the CTFT and NFA If you’re a newly registered firm, we can advise on efficient ways to remain compliant, helping you prepare documented workflows and procedures and help keep you abreast of upcoming regulatory change.

Ongoing advice and in-depth reviews for experienced Advisers.

We can assess the effectiveness of your compliance program through in-depth or targeted reviews, mock NFA examinations and performance reviews as well as training deliverables. As with all our services, we focus on providing practical, actionable solutions for any areas needing remediation.