NFA's Logo
Home > FAQs > Compliance > Anti-Money Laundering ("AML") Programs > Do all FCMs and IBs need annual audit of the AML...

Do all FCMs and IBs need an annual audit of the AML program?

Most FCMs and IBs must conduct an audit at least every twelve months. FCMs and IBs that engage solely in proprietary trading or that are inactive may conduct the audit every two years.

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
Site Index | Contact NFA | News Center | FAQs | Career Opportunities | Industry Links | Home
© National Futures Association All Rights Reserved. | Disclaimer and Privacy Policy