Initial Futures Ethics

Price: $75
Length of Course: 90-120 min
Platform: Accessible from any device with seamless progress tracking
Course Outline & Provider Qualifications

Initial Futures Ethics is a comprehensive course designed for those new to the futures industry and who recently registered with the National Futures Association (NFA). A cornerstone of Associated Person (AP) training since the first version created by Exchange Analytics in 1993, this course is designed to fulfill the requirements outlined in the Commodity Exchange Act, the CFTC’s Statement of Acceptable Practices for Ethics Training, NFA Rules 2-9 and 2-36, and NFA Interpretive Notice 9051. ...

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Course completion is recommended within the first six months of an AP’s confirmed registration with the NFA. All topics required by the CFTC’s Statement of Acceptable Practices for Ethics Training are addressed in the course. This includes: industry structure and rules; supervisory systems and internal controls; acting honestly and in good faith; customer finance and investments experience; customer disclosures; avoidance and disclosure of conflicts of interest; and observing just and equitable principles of trade. The course uses case studies to reinforce the concepts learned throughout and concludes with a comprehensive assessment.

Learning Objectives

Define effective supervision and explain policies, procedures, and internal controls within the three lines of defense.
Identify and manage conflicts of interest within the industry, particularly when dealing with potential clients.
Understand Know Your Customer (KYC) protocols and suitability requirements.
Differentiate between various risk disclosures and their application in customer interactions.
Explain the roles and functions of the CFTC, NFA, and exchanges.

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