CFTC Customer Protection Rule
Price: $60
Length of Course: 50-60 min
Platform: Accessible from any device with seamless progress tracking
Course Outline & Provider Qualifications
Description: This course is designed to comply with the annual customer funds segregation training requirement of CFTC Regulation 1.11 and specifically covers customer funds protection, reporting and disclosures, risk management, reporting suspected policy breaches, and consequences of non-compliance. Our training helps ensure that individuals and entities operating within the futures and derivatives markets are well-versed in the critical regulatory requirements and responsibilities.
Learn about our Test Through version for advanced students.
Learning Objectives
- Review customer funds protection, reporting and disclosures, risk management, reporting suspected policy breaches, and consequences of non-compliance.
- Learn the types of customer accounts, depository requirements, segregation calculations, and prohibition on commingling customer funds.
- Identify financial reporting obligations, notice filing requirements, and the roles of the Chief Compliance Officer, along with record keeping.
- Understand customer disclosure requirements, including risk disclosure, non-cash margin, firm-specific risks, and eligible contract participants.
- Recognize the general requirements of a Risk Management Program (RMP) and the importance of establishing risk and tolerance limits.
(Test Through Version)
Customer Protection Rule
$75 | 20-30 minutes
This version of our standard course includes an optimized learning path for advanced students. Those who score 80% or higher on a 15-question assessment can satisfy their annual training requirement by “testing through” the full course material and reviewing a section focused on regulatory updates and core concepts. Those not scoring 80% or higher are immediately directed to the full standard course version. For more information or to purchase Contact Us.
Contact Us For This Advanced Course
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- Dedicated Management Portal: A separate secure login designed specifically for management.
- Real-time Tracking: Instant access to view individual employee progress and completion status.
- Reporting Access: Download certificates and reports including information about training progress, courses, system log, and much more.
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“Regularly updated course material.”
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Register as an individual user & pay by credit card.
Purchase For Your Firm
Register employees for training. Email orders@xanalytics.com or contact us.
