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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From “Know Your Counterparty” obligations to navigating institutional suitability and safe harbor guidelines, our curriculum covers essential topics essential for regulatory adherence.

Learning Objectives

Define effective supervision and consequences of failure to supervise.
Navigate ethical dilemmas commonly faced in the swaps industry.
Understand effective strategies for knowing your counterparty.
Define conflicts of interest and disclosure requirements
Recognize prohibited acts such as fraud, deception, and manipulative practices
Understand the roles and functions of the CFTC and NFA in regulating the swaps industry.

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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.

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Swap Dealer Periodic Ethics