Swap Dealer Marketing Supervision Requirements
Price: $25
Length of Course: 25-30 minutes
Platform: Accessible from any device with seamless progress tracking
Course Outline & Provider Qualifications
In 2020, the National Futures Association (NFA) issued Interpretive Notice 9077, mandating Swap Dealers to provide training on the development, approval, and dissemination of marketing materials. This course is designed to fulfill this mandatory training obligation. It covers the regulatory framework and best practices governing Swap Dealer marketing activities.
Learning Objectives
- Understand the regulatory framework governing Swap Dealer marketing activities
- Learn supervisory obligations related to the use, approval, and retention of marketing materials
- Recognize and prevent misleading counterparty communications, including false statements, misrepresentations, and AI washing
- Comprehend Know Your Counterparty (KYC) responsibilities to ensure regulatory compliance and ethical conduct
- Identify and avoid prohibited trade practices
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.
- Single Sign-On (SSO) Access: Available for streamlined login, including integration with Okta.
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First-Class
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Training Portal
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Compliance Officer
Empowerment
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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.
