Futures Ethics – Periodic (Institutional Version)
Price: $45
Length of Course: 50-60 min
Platform: Accessible from any device with seamless progress tracking
Course Outline & Provider Qualifications
This is a refresher version of our Initial Futures Ethics training and is expected to be taken at least every three years. This version of Periodic Ethics is meant for clients that deal primarily with institutional clients or qualified investors, emphasizing trade practice requirements – particularly at the exchanges – and other transactional issues.
Learning Objectives
- Understand futures industry regulations, including CFTC and NFA rules, membership requirements, and industry obligations.
- Describe supervisory systems and internal controls for compliance, including chief compliance officer roles and reporting requirements for policy breaches.
- Analyze ethical considerations, including adherence to codes of ethics, privacy policies, and high-level cybersecurity and data protection expectations.
- Evaluate institutional client considerations, including disclosures, know-your-customer requirements, and account ownership and control.
- Identify and avoid conflicts of interest and understand trade principles, including anti-fraud provisions and compliance with exchange rules.
Trusted by
Industry Giants
Course Content
Administrative Advantages
- 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.
Why Our Clients Choose Us
First-Class
Customer Service
“Team’s commitment to swift and personalized communication sets them apart.”
User-Friendly
Training Portal
“Ease of Learning Management System.”
Compliance Officer
Empowerment
“Ability for CO’s to log in and view employee training status.”
Current and Comprehensive
Content
“Regularly updated course material.”
Individual Learner
Register as an individual user & pay by credit card.
Purchase For Your Firm
Register employees for training. Email orders@xanalytics.com or contact us.
