FCMs and IBs are required to establish a written anti-money laundering (AML) compliance program that meets the requirements of the Bank Secrecy Act (BSA) and NFA Compliance Rule 2-9(c). The AML Procedures System is designed to assist Members in developing an adequate written compliance program by identifying the minimum components of the program and providing guidance and information on the components, along with examples of suggested language.
FCMs and IBs are not required to use this system to develop their AML program. In fact, FCMs and IBs should be aware that this system is intended to provide an outline for the program and that you may need to make modifications to ensure that the final program addresses the money laundering risks associated with the Member's business. Using the system does not guarantee that your program will satisfy the AML program requirements, nor does it provide a safe harbor from violations of the program requirements.
Please note that the AML Procedures System will not be available for use Monday through Friday from 8:00 p.m. to 9:00 p.m. CT. The system may also occasionally be unavailable at other times due to system maintenance.
This system requires a currently supported version of Microsoft Internet Explorer or Firefox. The highest Internet Explorer (IE) custom security level you may use for this system is Medium-High. NFA recommends keeping browser levels and maintenance current as an overall best practice. Access to confidential data in this system is secured using 128 bit Secure Sockets Layer (SSL). This system also requires cookies and Scripting of Java Applets to be enabled. Contact your network administrator or visit the websites listed below to determine if your system can support these requirements.
Internet Explorer updates are available at:
Firefox updates are available at:
If you have any questions, NFA's Information Center is available Monday through Friday from 8:00 a.m. to 5:00 p.m. CST to answer your questions. Call (312) 781-1410 or toll-free at (800) 621-3570. You may also email inquiries to email@example.com.
You can check the registration status and disciplinary history of any derivatives firm or individual.