PROVIDING ASSURANCE THROUGH EXPERIENCE

INVESTMENT ADVISER SERVICES DIVISION

NFA Membership and CFTC Registration Solutions ACA provides two levels of NFA membership and CFTC registration support to brokerage rms, trading advisers, and fund managers.
Registration Accelerator Initial Registration and Ongoing Compliance Program Assistance Registration Facilitation and Administration
Review of Proposed Futures-Related Business

Ongoing Compliance Support

Unlimited Customized Telephone Consulting NFA ORS Administration Periodic Email Compliance Alerts

Activities
Recommendation on Required Registration(s)

based on Business Activities

NFA Online Registration System (ORS)

Singular Registration Solution Assistance with Initial Registration and Membership Requirements Registration Assistance and Administration
Review of Proposed Futures-Related Business

Administration, including these lings:

Request for Security Manager Designation Forms 7R , 8-R, and 1FR Fingerprint Cards Form(s) U10 Unlimited Organizational and Startup Consulting

Activities
NFA ORS Administration, including these lings: Request for Security Manager Designation Forms 7R , 8-R, and 1FR Fingerprint Cards Form(s) U10 Unlimited Organizational and Startup Consulting

until NFA Membership Approval

Written Policies and Procedures

Template Compliance Manual Drafting of CPO or CTA Disclosure Document,

until NFA Membership Approval

including Submission to and Correspondence with NFA through Approval

Written Policies and Procedures

Template Compliance Manual Drafting of CPO or CTA Disclosure Document,

including Submission to and Correspondence with NFA through Approval For more information please contact Scott Brindley at 212-868-5940 or sbrindley@acacompliancegroup.com.

92611 012312

NEW YORK LONDON DC METRO BOSTON CHICAGO LOS ANGELES DENVER BOCA RATON RICHMOND CHATTANOOGA MORRISTOWN CHANNEL ISLANDS

acacompliancegroup.com