Intro to Swap Dealer Requirements
Price: $75
Length of Course: 90-120 min
Platform: Accessible from any device with seamless progress tracking
Course Outline & Provider Qualifications
Designed for new employees of CFTC-registered Swap Dealers, this comprehensive best practices course provides individuals a foundational understanding of industry structure and rules, supervisory systems and internal controls, avoiding conflicts of interest, counterparty considerations, and more. Moreover, our course is designed to fulfill the NFA’s requirements for both (1) Ethics and (2) Marketing Supervision training, streamlining the learning process for participants.
Learning Objectives
- Understand Swap Dealer regulations, including CFTC and NFA rules, Dodd-Frank requirements, and the de minimis exception.
- Identify Swap Dealer classification criteria, registration processes, and NFA membership requirements.
- Describe Swap Dealer supervision systems, diligent supervision, and the roles of compliance officers.
- Analyze ethical considerations, including fair communication, adherence to codes of ethics, and compliance with NFA requirements for promotional materials.
- Assess counterparty considerations, including knowing counterparties, disclosures, dealing with special entities, and understanding swap documentation, reconciliation, and clearing processes.
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.
