Associated Person Bundles

Associated Persons (APs) are individuals who solicit orders, customers or customer funds (or who supervise persons so engaged) on behalf of the commodity trading advisor (CTA) or commodity pool operator (CPO). An AP is, in effect, any person who is a salesperson or who supervises salespersons for any of these categories of individuals or firms. The registration requirements apply to any person in the supervisory chain-of-command and not only to persons who directly supervise the solicitations of orders, customer or funds.

Associated Person Courses

Pick and choose from the course's you need to satisfy your financial compliance certificate. If you need help at anytime, please reach out to our staff. We are happy to help.

Requirements

These courses are required

Cybersecurity
Annually
Anti-money Laundering
ANNUALLY
Futures Ethics Initial
(w/in 6 months of hire)
Futures Ethics Periodic
(every 3 years)
Identity Theft Prevention
(at least every 2 years)

Recommended Courses

Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)
Intro to Asset Management
(upon hire)