Fingerprinting - Compliance and CFTC
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FINRA Fingerprinting

Regulatory Compliance

Surrey: 01483 200999
Hants: 02380 308274
Fingerprinting for Regulatory compliance for FINRA & other legislative bodies - for your convenience we will attend at your site. Make an appointment by calling 020 7158 0332 or email

CFTC Compliance/Visas

Commodity Futures Trading Commission

The Commodity Futures Trading Commission eliminated a widely used exemption from commodity pool operator ('CPO') registration

The practical effect is that sponsors of many hedge funds have to register with the CFTC as CPOs and become subject to some, but not all, of the CFTC's disclosure, reporting and record keeping requirements. As with NFA registration, as a part of the registration process, the principals and certain employees of the CPO will need to submit fingerprint cards

Registration Process

Unless a CPO qualifies for another exemption it will have to register with the CFTC, effected through the NFA online registration system. The CPO must File an application and pay a registration fee, file applications and fingerprint cards for the CPO's principals and associated persons.

We will visit you, at a time that is convenient, using mobile equipment; this will cause the minimum disruption. Our staff are professional and pleasant, and understand the needs of your business. Our people travel and visit you whether you are based in London, in Europe or elsewhere in the UK

To make an appointment please call us:
London: 020 7158 0332
Surrey: 01483 200999
Hants: 02380 308274
or email


We work for major asset management and investment companies as well as private individuals and other businesses, taking fingerprint records for registration / clearance with:

  • Commodity Futures Trading Commission (CFTC)
  • FBI Clearance
  • Financial Industry Regulatory Authority (FINRA)
  • Financial Services Authority (FSA)
  • National Futures Association (NFA)
  • Securities Exchange Commission (SEC)
  • UK Adoptions
  • Employment Confirmation
  • USA Medical Boards etc
  • FCA regulations require pre- and post-employment screening in addition to FBI Criminal Records checks

    Background checks on employees

    Fingerprinting for Regulatory Compliance

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