IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
FCMS OVERVIEW
A Futures Commission Merchant can be anyone or an entity (an association, partnership or trust) that is “engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery,” including a swap or a commodity option. An FCM can act as a counterparty to “any agreement, contract or [futures] transaction.”  
 
An FCM may accept “money, securities, or property (or extends credit in lieu thereof) to margin, guarantee, or secure any trades or contracts” for these transactions.
 
A future is an agreement to purchase or sell a commodity for future delivery. The price may be determined from the outset or via another method.
 

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