Introducing Brokers
We have dedicated professionals who focus on audits filed pursuant to Regulation 1.10 under the Commodity Exchange Act.
CFTC audits require specialized expertise, including an understanding of the industry, net capital regulations, required supplemental information, and the independent auditor’s report on internal control required by CFTC regulation 1.16.
Seth Heller, CPA and our staff will work with your company and administrator to understand your entity, document your financial reporting process, determine our risk assessment, plan our substantive auditing procedures and work together for an efficient audit. Our expertise in the field will help you meet CFTC regulatory standards.