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Compliance Q&A

With the one-year anniversary of the World Trade Center tragedy recently passed, I was wondering what was going on with NFA's office in New York. I remember hearing that the staff had moved – are they back in lower Manhattan? What's the contact information for the office?

You're right – our New York staff had been displaced for several months while the office went through extensive cleaning and renovations. We returned to our permanent offices in late January. Around this same time, NFA went through an organizational restructuring and there were several changes made to the overall structure in the Compliance Department. Generally, the New York office handles the firms in the New York area, while Chicago is generally responsible for firms in the rest of the country.

Several months ago, NFA sent each Member a letter indicating each Member's contact person for all compliance-related issues. Jennifer Augustyn is the manager in charge of the New York office. You can find her contact information below, as well as the contact information for Carla Colone, another key employee in the office. Jennifer and Carla would be happy to answer any questions you may have or assist you in your regulatory efforts.

One of the more significant changes during the restructuring of the department is that the staff in the New York office are now responsible for all compliance aspects of a Member's business, including audits, financial analysis, disclosure document and promotional material review, and investigations. This change will help our Members obtain consistent and timely responses to their regulatory needs and ensures that the department reviews your filings as efficiently and effectively as possible.

We believe that these changes enable NFA to focus on the needs of our Members and provide you with the best regulatory services possible.

Jennifer Augustyn
Associate Director, Compliance
National Futures Association
120 Broadway, Suite 1125
New York, NY 10271
(212) 513-6034
fax – (312) 658-4159

Carla Colone
Senior Manager, Compliance
National Futures Association
120 Broadway, Suite 1125
New York, NY 10271
(212) 513-6028
fax – (212) 964-3913

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