Practice Areas

CFTC and NFA Cyber Security Policies

 

Shipkevich advises Commodity Futures Trading Commission (CFTC) and/or the Nation Futures Association (NFA) registered firms – Introducing Brokers (IB), Future Commission Merchants (FCM), Commodity Trading Advisors (CTA), Commodity Pool Operators (CPO) – on drafting procedures as required by CFTC and the NFA cyber security policies. Our attorneys will create specific procedural guidelines appropriate to the nature of the client firm.

Shipkevich will draft documentation for Information Systems Security Programs (ISSPs) as prescribed by the CFTC to assist the firm with cyber-related risks like system data breaches, email phishing tactics and other cyber security policies. We will recommend reputable third parties to conduct audits for advanced preventive measures. Our services also provide revamped policies if a data breach does occur.

Compliance Services

Shipkevich provides with an assortment of services relevant to compliance consultation. We will create and maintain your personal company’s compliance procedures pertaining to cyber security policies. You will be able to correspond with us about any specific provisions you have questions about. Shipkevich will provide standard staff and management guidelines, which will serve as a reference of actions that have to be implemented to certain situations. Moreover, Shipkevich renders outstanding brokerage and business consultation, helping you make decisions in regards to hiring more brokers or soliciting for new clients.

Financial Expert Witness Testimony

If you’re an attorney searching for a financial expert witness, then you can rely on Shipkevich. Every case has its own set of conditions, and thus requires meticulous analysis. Shipkevich will assist you with expert testimony regarding foreign exchange, options, futures and commodities.

Start Up Services

If you want to register as an Introducing Broker (IB), Commodity Trading Advisor (CTA), Commodity Pool Operator (CPO), Forex or Swap brokerage company, then Shipkevich PLLC would be the right place to turn to.

Shipkevich has years of experience in these industries. We have registered a number of successful entities under the NFA and CFTC. Our services will guide you through every step of the way from preparing all necessary documents to gathering all other crucial materials that will allow you to start operating your company.

In order to achieve what your entity wants, we will correspond with the NFA or CFTC to register you accordingly. From a regulatory standpoint, Shipkevich will assist you so you can run your business at optimal efficiency.

Shipkevich provides a variety of cyber security policies services to our clients, including:

 
  • Transactional and regulatory work relating to commodity futures
  • Drafting disclosure documents for commodity trading advisors
  • Drafting no-action letters on behalf of clients to the CFTC
  • Counseling on commodity trading advisers, commodity pool operators, and investment adviser registration and licensure requirements and exemptions
  • Representation on inquiries, investigations and enforcement actions initiated by the SEC, the CFTC, and NFA
  • Counseling on exchange requirements advice for futures commission merchants and floor brokers
  • Advising on compliance issues for brokers
  • Representation before self-regulatory futures organizations in disciplinary and membership proceedings
  • Representation in NFA arbitration proceedings
  • Advising on compliance with the Dodd–Frank Wall Street Reform and Consumer Protection Act, commonly known as the Dodd- Frank Act
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