Regulatory Financial Operations
Reliable source records
Connect financial reports and calculations to reconciled books and documented input data.
Reviewable reporting
Define preparer, reviewer, approval, exception handling, and evidence retention for the agreed reporting process.
For registrants that need an outsourced or supplemental regulatory finance function. The applicable work differs across FCMs, independent or guaranteed IBs, CPOs, and CTAs.
What the engagement can include
Accounting and close
Scope reconciliations, supporting schedules, chart-of-accounts design, and the recurring financial close.
Capital and customer-fund support
Where applicable, support adjusted net capital and segregation or secured-amount calculations with documented inputs and review controls.
Financial reporting preparation
Prepare the agreed draft financial reporting package, which may include Form 1-FR-FCM support where applicable. Filing responsibility and permissions are separately confirmed.
Exception and evidence management
Document thresholds, review questions, escalation owners, and the evidence retained for each reporting period.
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 your registration category, reporting obligations, accounting and clearing-system list, current close calendar, sample reports, and known control issues. Share confidential records only through an approved secure process.
Book a Financial Operations Consultation →
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
Do all listed calculations apply to every registrant?
No. Applicability depends on the category, customer-fund model, and activities. We do not apply an FCM checklist to every IB, CPO, or CTA.
Who approves or submits a filing?
The authorized parties and submission process are defined in the engagement. Preparation does not imply that Mac Neal LLC is already connected to a regulator’s production filing system.
Does outsourcing transfer management responsibility?
No. Management retains its responsibilities. The engagement documents the work performed, decision rights, and escalation process.
Related Services & Resources
Official reference: NFA: FCM applicant compliance requirements