Risk Assessment – FCM Style

Today’s FCMs face not just one risk, but many. Regulatory changes may dramatically alter the business model and viability of some. For other, managing risk associate with outsourcing key operations to 3rd party technology providers poses a challenge. And, of course, the financial risks some FCMs are taking in response to both internal and external pressures to perform are compounded by the current market environment.

For over 20 years, Michael Coglianese CPA, P.C. has specialized in providing Introducing Brokers, CTAs and Funds with efficient and timely professional services, including audits, and compliance reviews. Tax preparation is tailored to each client’s specific operation and business strategy with the ultimate goal of developing more profitable business for the end user.

Michael’s experience and contacts in our industry have given him a broad perspective on the regulatory, operational and financial risk facing FCMs today, and how they are responding. He will be moderating a panel of industry experts at the NIBA September 12 conference, discussing the inherent risks for IBs, CTAs and their customers, and how to assess them.

Mr. Coglianese can be contacted at [email protected] or 630.351-8942 to discuss general risks facing FCMs, as well as specific assessments of FCM’s financial well being.


The Opinions expressed are the opinions of the author. The opinions, the trading styles, trading information and trading programs are not endorsed by the NIBA, but are the individual opinions, styles, information and programs of the author.