Broker-Dealers and Futures Commission Merchants

Broker-Dealers and Futures Commission Merchants (FCM) are constantly challenged to remain in compliance with ever-changing rules and regulations. Concurrently, they are tasked with focusing on providing quality service to their customers in order to maximize the potential of their offerings. FGMK’s professionals specializing in these industries possess the requisite industry experience and regulatory experience to help navigate these matters. 

FGMK is a PCAOB registered firm whose financial services practice helps organizations with complex reporting, governance and regulatory issues. Many of our professionals have held significant industry positions and have direct experience with operational issues and challenges facing financial services organizations.

Our significant experience in working with regulated financial services companies helps us advise companies on the requirements of the SEC, FINRA and CFTC.

Our industry-specific services include:

  • Audit and assurance services
  • Tax planning, structuring and compliance
  • Risk management and regulatory compliance consulting
  • Front, middle and back office operational risk and controls consulting
  • SEC and CFTC net capital and customer protection rules consulting