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Security Futures Pre-Launch Legal & Regulatory Compliance Guide

Get ready for the pre-launch of security futures with insights on legal, compliance requirements, operational and business issues, and IT considerations. Ensure firm and account qualifications, disclosures, best execution, and growth prospects.

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Security Futures Pre-Launch Legal & Regulatory Compliance Guide

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  1. FIA OPERATIONS DIVISION AND LAW & COMPLIANCE PRESENT SECURITY FUTURES PRE-LAUNCH

  2. Last Minute Legal and Regulatory Requirements • Qualification of the Firm • Qualification of Account Executives • Qualification of Principals • Qualification of Accounts • Disclosures

  3. Firm Preparation • Necessary Supervisory Systems • Written Policies and Procedures • Suitability • Best Execution • Promotional Material

  4. Last Minute Operational Issues • Testing • Fees • Corporate Actions • Account Set-Ups

  5. Last Minute Business Issues • Expected Clients • Sales Efforts • Logistical Issues • Growth Prospects

  6. Important IT Considerations • Straight Through Processing • Connectivity and Impact on Firm Infrastructure • Automating Prosesses • Impact on Tax Preparation

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