Swap Dealer Periodic Ethics
Price: $45
Length of Course: 50-60 min
Platform: Accessible from any device with seamless progress tracking
Course Outline & Provider Qualifications
This course is designed to satisfy the CFTC and NFA ethics training requirements for Swap Dealers and their Associated Persons, and other registered individuals. An amendment to NFA Rule 2-9(d) regarding supervision confirms long-standing ethics training obligations that apply to futures registrants also extend to Swap Dealers. Drawing upon our decades-long expertise in delivering ethics training to the futures industry, we have tailored this course to specifically address Swap Dealers' distinct requirements.
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Learning Objectives
- Understand regulatory expectations for ethical behavior, fair dealing, and avoiding misrepresentation
- Recognize and distinguish between types of conflicts of interest – counterparty, customer, political, and internal
- Learn supervisory obligations, internal control structures, and the roles of compliance personnel
- Identify ethical practices in counterparty interactions, disclosure, and documentation requirements
- Recognize prohibited practices such as manipulation, insider trading, false statements, and disruptive trading
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.
