Compliance Program Gap Assessment: 20 Questions Every Financial Firm Should Ask

Twenty questions that help CFTC registrants and NFA Members find, score and prioritize the gaps in their compliance program before an examiner does. Part of the Mac Neal LLC Resource Series.

Inside this guide:

• A scoping decision tree: which rule areas apply to your firm
• 20 questions across ten program areas, each with why it matters, what good looks like and red flags
• A 0-1-2 scoring method and a risk-times-effort way to prioritize fixes
• Common mistakes, and when to bring in outside help
• Printables: the 20-question scorecard, a remediation priority matrix and a 90-day plan

19-page PDF with checklists and printable worksheets. Updated October 2026.

General education, not legal advice. Mac Neal LLC provides independent financial and operational support, not legal advice. Have a question about your own situation? Book a consultation at www.macnealllc.com.