Commodity Futures Act

This Act was passed to protect investors from unfair, improper, or fraudulent practices, and to foster fair and efficient commodity futures markets and confidence in those markets.

KOMpliance simplifies how firms set up and enforce compliance with the Act's mandates for storing records of all trades and transactions and for keeping those records in a format, medium and retention period that comply with SEC Rule 17a-4.

 

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What Our Clients Say

  • KOMpliance provides us with functionality that wasn’t available before. We no longer have to worry about meeting different regulatory requirements for different types of studies or patients.

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