Security Based Swap Dealer Courses

Pick and choose from the courses you need to satisfy your financial compliance certificate. If you need help at anytime, please reach out to our staff. We are happy to help.

Requirements & Recommendations

Required Courses

Anti-money Laundering
Identity Theft Prevention
(at least every 2 years)

Recommended Courses

Intro to Asset Management
(Upon hire)
Security-based Swap Dealer Requirements
(Upon hire)