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Commodity Contracts Brokerage, SOP Manual SOP-353

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The SOP (Standard Operating Procedure) Manual for Commodity Contracts Brokerage holds substantial value in the dynamic and regulated realm of financial services. This manual serves as a crucial document, providing a systematic guide for brokerage operations, risk management, compliance, and client interactions.

By offering a standardized framework, the SOP manual ensures consistency and precision in executing commodity contracts, mitigating operational risks, and enhancing the overall quality of brokerage services. It becomes an indispensable tool for staff training, ensuring that employees are well-versed in industry best practices and compliance requirements. Additionally, the manual aids in regulatory adherence, helping the brokerage firm navigate complex financial regulations and maintain legal compliance.

In the fast-paced and intricate world of commodity contracts, where precision and adherence to regulations are paramount, the SOP Manual becomes a cornerstone for optimizing operational efficiency, managing risks, and sustaining the integrity of commodity contracts brokerage services.

CLICK HERE to download the List of SOPs Document in PDF format. Please share this document with your clients, colleagues and senior officers.

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Top 50 Standard Operating Procedures (SOPs) for Commodity Contracts Brokerage 

SOP-353-001: Standard Operating Procedure for Commodity Contracts Brokerage   
SOP-353-002: Standard Operating Procedure for Client Onboarding   
SOP-353-003: Standard Operating Procedure for Market Research and Analysis   
SOP-353-004: Standard Operating Procedure for Regulatory Compliance   
SOP-353-005: Standard Operating Procedure for Trade Execution   
SOP-353-006: Standard Operating Procedure for Risk Management   
SOP-353-007: Standard Operating Procedure for Contract Negotiation   
SOP-353-008: Standard Operating Procedure for Order Processing   
SOP-353-009: Standard Operating Procedure for Trade Settlement   
SOP-353-010: Standard Operating Procedure for Margin Calls   

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SOP-353-011: Standard Operating Procedure for Customer Communication   
SOP-353-012: Standard Operating Procedure for Dispute Resolution   
SOP-353-013: Standard Operating Procedure for Record Keeping   
SOP-353-014: Standard Operating Procedure for Account Reconciliation   
SOP-353-015: Standard Operating Procedure for Financial Reporting   
SOP-353-016: Standard Operating Procedure for Market Surveillance   
SOP-353-017: Standard Operating Procedure for Trade Confirmations   
SOP-353-018: Standard Operating Procedure for Trade Clearing   
SOP-353-019: Standard Operating Procedure for Trade Documentation   

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SOP-353-020: Standard Operating Procedure for Compliance Audits   
SOP-353-021: Standard Operating Procedure for Technology Systems Maintenance   
SOP-353-022: Standard Operating Procedure for Customer Education   
SOP-353-023: Standard Operating Procedure for Business Continuity   
SOP-353-024: Standard Operating Procedure for Anti-Money Laundering   
SOP-353-025: Standard Operating Procedure for Ethics and Conduct   
SOP-353-026: Standard Operating Procedure for Trade Reporting   
SOP-353-027: Standard Operating Procedure for Position Monitoring   
SOP-353-028: Standard Operating Procedure for Market Intelligence   
SOP-353-029: Standard Operating Procedure for Trade Settlement Discrepancies   
SOP-353-030: Standard Operating Procedure for Client Review Meetings   

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SOP-353-031: Standard Operating Procedure for Credit Risk Assessment   
SOP-353-032: Standard Operating Procedure for Order Routing   
SOP-353-033: Standard Operating Procedure for Counterparty Due Diligence   
SOP-353-034: Standard Operating Procedure for Liquidity Management   
SOP-353-035: Standard Operating Procedure for Market Order Handling   
SOP-353-036: Standard Operating Procedure for Price Risk Management   
SOP-353-037: Standard Operating Procedure for Position Liquidation   
SOP-353-038: Standard Operating Procedure for Corporate Governance   
SOP-353-039: Standard Operating Procedure for Trade Confirmations Accuracy   
SOP-353-040: Standard Operating Procedure for Regulatory Reporting   

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SOP-353-041: Standard Operating Procedure for Customer Complaints Handling   
SOP-353-042: Standard Operating Procedure for System Upgrades   
SOP-353-043: Standard Operating Procedure for Financial Solvency Assessment   
SOP-353-044: Standard Operating Procedure for Trade Execution Best Practices   
SOP-353-045: Standard Operating Procedure for Customer Privacy   
SOP-353-046: Standard Operating Procedure for Cross-Border Trading   
SOP-353-047: Standard Operating Procedure for Employee Training   
SOP-353-048: Standard Operating Procedure for Market Liquidity Assessment   
SOP-353-049: Standard Operating Procedure for Derivatives Trading   
SOP-353-050: Standard Operating Procedure for Transaction Reporting

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Standard Operating Procedure - SOP ToolBox (1)

SOP ToolBox: If you are reading these lines, I am sure you are looking for Standard Operating Procedure guidelines or SOPs itself. In both the cases, searching in internet will not be yielding any great help. Because no company shares their SOP Development Process and certainly don’t share their SOP Documents. The best way to develop an SOP is creating one for yourself. At Fhyzics, we write SOPs day-in and day-out for companies across the globe including some of the Fortune 500 organisations. Our charge ranges from USD 5000 to USD 50000 depending upon the number of processes to be covered. Certainly, this is not affordable to small and mid-size organisations. Hence, we decided to create this SOP ToolBox to disseminate our 8-Step SOP Development Life-Cycle and best practices at an unbelievably low price.


I always say, writing an SOP is somewhere between art and science. So far you may be clueless on where to start and how to progress on an SOP? This will not be the case after you diligently go through this SOP ToolBox. We have summarised all our secrets here to get you started and to deliver a stunning SOP to your management.

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The North American Industry Classification System (NAICS) has grouped services and activities associated with Commodity Contracts Brokerage under the NAICS industry code 523140. The following list shows some activities that are associated with industry 523140,
  • Brokerages, commodity contracts.
  • Commodity contract pool operators
  • Commodity contracts brokerages
  • Commodity contracts brokers offices
  • Commodity contracts floor brokers
  • Commodity contracts options brokerages
  • Commodity futures brokerages
  • Financial futures brokerages
  • Foreign currency exchange brokering services
  • Futures commodity contracts brokerages
  • Futures commodity contracts brokers offices
Naics code:
  • 523130 – Acting as principals in buying or selling spot or futures commodity contracts generally on a spread basis.
  • 42 - Buying and selling physical commodities for resale to other than the general public.
SIC Code:
  • 6221 – Commodity Contracts brokers and dealers.
Some of the international association of Commodity Contracts Brokerage:
  • Association of Futures Markets (AFM).
  • National Futures Association (NFA).
  • Swiss Trading and Shipping Association (STSA).
  • National Introducing Brokers Association (NIBA).
  • Commodity Futures Brokers and Traders Association (CFBTA).
  • Commodity Participants Association of India (CPAI).
  • The Grain and Feed Trade Association (GFTA).
Few of the World’s best companies in this industry are,
  • UBS Securities LLC | Stamford | United State of America | www.ubs.com |
  • Fcstone Group Inc | Kansas City | United State of America | www.intlfcstone.com |
  • Gerald Holdings LLC | Stamford | United State of America | www.gerald.com |
  • Hansen-Mueller Co | Omaha | United State of America | www.hansenmueller.com |
  • ADM Investor Services Inc | Chicago | United State of America | www.admins.com |
  • Gep Agricultural Trading LLC | Coral Gables | United State of America |
  • Heartland Trading Inc | Ada | United State of America | www.htcexpress.net |
  • Standard Group | Milwaukee | United State of America |
  • Hurley and Associates Inc | Charleston | United State of America | www.hurleyandassociates.com |
  • Advance Trading Inc | Bloomington | United State of America | www.advance-trading.com |
Some of the magazines and journals that will keep you track on:

You Tube:

  • https://youtu.be/c64ptdyniUY |
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Written by Venkadesh Narayanan

Venkadesh is a Mechanical Engineer and an MBA with 30 years of experience in the domains of supply chain management, business analysis, new product development, business plan and standard operating procedures. He is currently working as Principal Consultant at Fhyzics Business Consultants. He is also serving as President, PDMA-India (an Indian affiliate of PDMA, USA) and Recognised Instructor of APICS, USA and CIPS, UK. He is a former member of Indian Civil Services (IRAS). Fhyzics offers consulting, certification, and executive development programs in the domains of supply chain management, business analysis and new product development.

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