Self-Examination Checklist: For FCMs, IBs, CPOs and CTAs

Entire Self-Examination Checklist: For FCMs, IBs, CPOs and CTAs in PDF format (Updated as of October 2009)

You can also download individual sections of the Self-Examination Checklist in PDF format by clicking on the links below:

• Introduction to Self-Examination Checklist in PDF format
• General Self-Examination Checklist for All Registration Categories in PDF format
• Supplemental Checklist for FCMs in PDF format
• Supplemental Checklist for IBs in PDF format
• Supplemental Checklist for CPOs in PDF format
• Supplemental Checklist for CTAs in PDF format
• Appendix A - Anti-Money Laundering Questionnaire in PDF format
• Appendix B - Business Continuity and Disaster Recovery Plan Questionnaire in PDF format
• Appendix C - Ethics Training Policy Questionnaire in PDF format
• Appendix D - Privacy Policy Questionnaire in PDF format
• Sources of Additional Information in PDF format
      

Entire Self-Examination Checklist: For FCMs, IBs, CPOs and CTAs in Word format (Updated as of October 2009)