COMPLIANCE

FCRT's compliance team has the Regulatory qualifications and experience to support many critical Chief Compliance Officer (CCO) functions. Our compliance strength lies in the depth of experience gained in serving and being registered as CCOs in Dealer Member firms.

Our services include:

  • CCO assistance services tailored to client requests and business needs.
  • SRO audit report assistance – FCRT assists clients to address deficiencies raised during a Business Conduct Examination (BCE). FCRT prepares the written response letter and recommends required procedural changes.
  • Trade Desk Universal Market Integrity Rules (UMIR) review and supervision support. FCRT will ensure the client’s trade desk procedures comply with UMIR. FCRT will conduct internal trade desk reviews to ensure compliance is met and address any deficiencies found.
  • Business Conduct Compliance training and support. FCRT will train the client’s compliance staff on the requirements of supervision reviews. FCRT will provide continued support as required by the client.
  • Written Policies and Procedures (P&P) Manual and P&P manual update service. FCRT will establish and maintain the client’s P&P manual.
  • Business Conduct Examination (BCE) assistance and support. FCRT will prepare the client for its upcoming BCE conducting a preliminary audit prior to SRO examination.
  • Anti-Money Laundering – (AML) monitoring. FCRT will conduct reviews to ensure all aspects of AML requirements are properly documented and supervised.