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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.
30+ Years
Trusted by
Industry Giants
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Immediate Certification Upon Successful Completion
Third-party Regulatory Assurance
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

Customer Service

“Team’s commitment to swift and personalized communication sets them apart.”

Training Portal

“Ease of Learning Management System.”

Compliance Officer

“Ability for CO’s to log in and view employee training status.”

Current and Comprehensive

“Regularly updated course material.”

Individual Learner

Register as an individual user & pay by credit card.

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