--- title: Ongoing Compliance | Tölt Strategies description: Tölt Strategies offers expert regulatory advisory services to help clients navigate compliance, fast-track market strategies, and build robust operational frameworks for sustainable success. image: https://www.toltstrategies.com/hubfs/51734494/website/tolt-og-image.jpg --- [![Tölt Strategies](https://www.toltstrategies.com/hubfs/Branding/tolt-inverse-logo.png)](https://www.toltstrategies.com/?hsLang=en) [![Tölt Strategies](https://www.toltstrategies.com/hubfs/Branding/tolt-inverse-logo.png)](https://www.toltstrategies.com/?hsLang=en) - [About](https://www.toltstrategies.com/about?hsLang=en) - [About](https://www.toltstrategies.com/about?hsLang=en) - [Our Team](https://www.toltstrategies.com/our-team?hsLang=en) - [Careers](https://www.toltstrategies.com/careers?hsLang=en) - Services - [CFTC & SEC Registration Advisory](https://www.toltstrategies.com/cftc-sec-registration-advisory?hsLang=en) - [Ongoing Compliance](https://www.toltstrategies.com/ongoing-compliance) - [Digital Asset Compliance](https://www.toltstrategies.com/digital-asset-compliance?hsLang=en) - [Market Integrity & Surveillance](https://www.toltstrategies.com/market-integrity-surveillance?hsLang=en) - [Independent Monitor & Third-Party Review](https://www.toltstrategies.com/independent-monitor-third-party-review?hsLang=en) - [Product Legislative & Policy Strategy](https://www.toltstrategies.com/product-legislative-policy-strategy?hsLang=en) - [Who We Serve](https://www.toltstrategies.com/early-stage?hsLang=en) - [Early-Stage Startups](https://www.toltstrategies.com/early-stage?hsLang=en) - [Established Businesses](https://www.toltstrategies.com/established-businesses?hsLang=en) - [Insights](https://www.toltstrategies.com/insights?hsLang=en) - [Contact](https://www.toltstrategies.com/contact?hsLang=en) [Contact](https://www.toltstrategies.com/contact?hsLang=en) # Translating Elite Regulatory Expertise into High-Velocity Venture Success. Tölt Strategies balances frontier innovation with rigorous oversight. Our curated team of regulatory and operational experts provide advisory services to devise a strategy to achieve your vision, fast-track your come-to-market strategy, and build institutional-grade operational and compliance frameworks. Our expertise helps clients future-proof their approach to weather the tides of changing regulations. [CFTC & SEC Registration Advisory](https://www.toltstrategies.com/cftc-sec-registration-advisory?hsLang=en) [Ongoing Compliance](https://www.toltstrategies.com/ongoing-compliance) [Digital Asset Compliance](https://www.toltstrategies.com/digital-asset-compliance?hsLang=en) [Market Integrity & Surveillance](https://www.toltstrategies.com/market-integrity-surveillance?hsLang=en) [Independent Monitor & Third-Party Review](https://www.toltstrategies.com/independent-monitor-third-party-review?hsLang=en) [Product Legislative & Policy Strategy](https://www.toltstrategies.com/product-legislative-policy-strategy?hsLang=en) ## Ongoing Compliance Registrants must have robust policies and procedures to foster an environment of compliance as well as a program that demonstrates the registrant's ongoing efforts to comply with rules and regulations applicable to its business. ### Policies and Procedures Assisting in the drafting and updating of policies and procedures and written supervisory procedures that not only address the requirements in agency rules and regulations but are practically tailored to the client’s business model. ### Training Programs Developing a training program to address rules and regulations relevant to a client’s business. ### Compliance Testing and Reports Assisting in the performance of annual compliance testing and the preparation of Chief Compliance Officer (CCO) compliance reports and certifications for all registrations. ### How our services work together Most engagements draw on more than one of these areas. A firm registering with the CFTC often needs a surveillance program and digital-asset controls in parallel; a firm under a consent order may need independent monitoring alongside program remediation. We scope each engagement around the full picture, not a single service line. ##### Don't see what you're looking for? Our work often extends beyond these areas. If you're facing something adjacent, reach out—chances are we've seen it. [Reach Out ![](https://www.toltstrategies.com/hubfs/raw_assets/public/toltstrategies/images/services/arrow-narrow-right.svg)](https://www.toltstrategies.com/contact?hsLang=en) ## Not sure where to start? Tell us about your situation and we'll point you to the right starting place. [Schedule a Consultation](https://www.toltstrategies.com/contact?hsLang=en) [![Tölt Strategies](https://www.toltstrategies.com/hubfs/Branding/tolt-inverse-logo.png)](https://www.toltstrategies.com/?hsLang=en) 104 West 40th Street, 5th Floor New York, NY 10018 Email: [info@toltstrategies.com](mailto:info@toltstrategies.com) Phone: [+1 212-287-5810](tel:+1%20212-287-5810) Fax: [+1 212-498-8851](tel:+1%20212-498-8851) ###### About - [Our Team](https://www.toltstrategies.com/our-team) - [Careers](https://www.toltstrategies.com/careers) ###### Services - [CFTC & SEC Registration Advisory](https://www.toltstrategies.com/cftc-sec-registration-advisory) - [Ongoing Compliance](https://www.toltstrategies.com/ongoing-compliance) - [Digital Assets Compliance & Controls](https://www.toltstrategies.com/digital-asset-compliance) - [Market Integrity & Surveillance](https://www.toltstrategies.com/market-integrity-surveillance) - [Independent Monitor & Third-Party Review](https://www.toltstrategies.com/independent-monitor-third-party-review) - [Product Legislative & Policy Strategy](https://www.toltstrategies.com/product-legislative-policy-strategy) ###### Who We Serve - [Early-Stage Startups](https://www.toltstrategies.com/early-stage) - [Established Businesses](https://www.toltstrategies.com/established-businesses) ###### Insights - [News & Blog](https://www.toltstrategies.com/insights) - [Privacy Policy](https://www.toltstrategies.com/privacy-policy) - [Contact Us](https://www.toltstrategies.com/contact) #### Connect with Us! © 2026 Tölt Strategies, LLC ```json { "@context" : "https://schema.org", "@id" : "https://www.toltstrategies.com/#organization", "@type" : [ "Organization", "ProfessionalService" ], "address" : { "@type" : "PostalAddress", "addressCountry" : "US", "addressLocality" : "New York", "addressRegion" : "NY", "postalCode" : "10018", "streetAddress" : "104 West 40th Street, 5th Floor" }, "areaServed" : "US", "description" : "Specialized boutique advisory firm for commodity and securities spot and derivatives markets, including digital assets, prediction markets, and GPU capacity trading.", "email" : "info@toltstrategies.com", "founder" : { "@type" : "Person", "jobTitle" : "Founder", "name" : "Dorothy D. DeWitt" }, "image" : "https://www.toltstrategies.com/hubfs/51734494/website/tolt-og-image.jpg", "knowsAbout" : [ "CFTC registration", "SEC registration", "Derivatives compliance", "Digital asset compliance", "Market surveillance", "Prediction markets" ], "legalName" : "Tölt Strategies, LLC", "logo" : "https://www.toltstrategies.com/hubfs/51734494/website/tolt-og-image.jpg", "name" : "Tölt Strategies", "telephone" : "+1-212-287-5810", "url" : "https://www.toltstrategies.com" } ``` ```json { "@context" : "https://schema.org", "@id" : "https://www.toltstrategies.com/#website", "@type" : "WebSite", "inLanguage" : "en-US", "name" : "Tölt Strategies", "publisher" : { "@id" : "https://www.toltstrategies.com/#organization" }, "url" : "https://www.toltstrategies.com" } ``` ```json { "@context" : "https://schema.org", "@id" : "https://www.toltstrategies.com/ongoing-compliance#webpage", "@type" : "WebPage", "about" : { "@id" : "https://www.toltstrategies.com/#organization" }, "description" : "Tölt Strategies offers expert regulatory advisory services to help clients navigate compliance, fast-track market strategies, and build robust operational frameworks for sustainable success.", "isPartOf" : { "@id" : "https://www.toltstrategies.com/#website" }, "name" : "Ongoing Compliance | Tölt Strategies", "primaryImageOfPage" : { "@type" : "ImageObject", "url" : "https://www.toltstrategies.com/hubfs/51734494/website/tolt-og-image.jpg" }, "url" : "https://www.toltstrategies.com/ongoing-compliance" } ```