Compliance Team

The Compliance Team at the National Futures Association (NFA) is responsible for ensuring that all NFA Members adhere to established regulatory obligations and standards. This team conducts thorough examinations, audits, and investigations to identify and address non-compliance in the derivatives markets. They work to protect investors, uphold market integrity, and provide critical regulatory oversight, encompassing areas such as OTC derivatives, cybersecurity, financial analysis, and disclosure documentation. The team is pivotal in fostering a secure and transparent financial environment through rigorous compliance checks and enforcement.