CFTC & NFA Examination Readiness
A firm-specific review
Start with the registration category, activities, obligations, procedures, and records—not a generic checklist.
A practical remediation plan
Record each gap, its owner, supporting evidence, next action, and target completion date.
For firms preparing for a first examination, addressing an outstanding request list, or reviewing the evidence behind recurring regulatory processes.
What the engagement can include
Readiness assessment
Compare the agreed control areas with the records and evidence available. Clearly separate completed work from unresolved issues.
Mock request exercise
Walk through a sample evidence request and test whether the firm can locate the relevant period, review, and approval record.
Evidence coordination
Build an organized index of policies, reconciliations, reporting packages, approvals, and other scoped records.
Remediation tracking
Prioritize issues and retain the correction history. Recheck completion rather than treating an uploaded file as proof that a control operated.
How We Work Together
Scope
Confirm the business model, objective and responsibilities.
Build
Prepare the agreed records, workflow or documentation.
Validate
Review outputs, evidence and unresolved exceptions.
Handoff
Document approvals, owners and the next review date.
Prepare for Your First Conversation
Bring the regulator’s request or prior findings when available, a business overview, the applicable procedure inventory, key process owners, and the dates in scope.
Book an Exam Readiness Assessment →
Independent financial and operational support; no regulator affiliation, legal advice, approval guarantee, or unverified production integration is implied. Requirements and work are tailored to the firm and registration category.
Common Questions
Will this guarantee a successful examination?
No. Regulators determine the examination scope and outcome. Our work supports preparation and remediation within the agreed engagement.
Can you help during an active examination?
The scope depends on deadlines, access, and the issue. Counsel or another qualified specialist may need to participate.
Is this an independent audit?
No. Examination-readiness and mock-request support do not provide an independent audit or assurance opinion.