SUPPORT
NFA Regulatory Support
Blueprint GRC offers tailored compliance support to registered and exempt Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs) operating under CFTC and NFA oversight. Whether exempt under 4.13/4.14 or fully registered, our team helps firms stay compliant, audit-ready, and aligned with industry best practices.
Our NFA support summarised:
Registration & Exemptions
Guidance and filings for CFTC exemptions (e.g., 4.13(a)(3), 4.14(a)(8)) and NFA registration. Annual exemption affirmation.
Ongoing Advisory
Access to Blueprint’s team for day-to-day NFA/CFTC compliance queries. Monitoring of exemption status and supervisory obligations.
Disclosure Document Support
Preparation and updates of CTA/CPO disclosure documents, including risk disclosures and performance data. Coordination with NFA review.
Promotional Material Review
Compliance review of websites, pitch decks, and investor materials under NFA Rule 2-29 and CFTC standards.
Regulatory Filings
Support with PQR, PR, Annual Questionnaire, Self-Exam Questionnaire, and AUM reporting via NFA’s ORS system.
Training & Ethics
Annual training on CFTC/NFA requirements and internal compliance responsibilities. Support with ethics policies and recordkeeping.
NFA Exam Prep
Mock audit preparation, document review, and on-call support during NFA examinations or spot reviews.
Why Work with Blueprint GRC?
Our approach is grounded in senior-led delivery and deep regulatory expertise, with flexible resourcing models that can be tailored to each firm, whether outsourced, in-sourced, or purely advisory. With combined experience across US, UK, and EU regulatory regimes, we provide clear, pragmatic advice focused on practical implementation rather than just theory.