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Futures Commission Merchants (FCMs)

As the sheer volume and breadth of regulation continues to rise, FCMs are facing increasingly complex compliance challenges.

FCMs must stay ahead of over 1,500 regulatory obligations from the CFTC and NFA.

We help FCMs win at regulatory compliance.

Ascent’s Regulation AI extracts your firm’s exact obligations from oceans of regulatory text and distills them down into daily tasks. This targeted intelligence streamlines your horizon scanning and change management processes, ensuring you never miss an important detail.

Then, ensure completeness using Ascent’s full set of compliance management tools. The result is a traceable, end-to-end compliance solution that helps you on the path towards 100% compliance.

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