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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.

AML for Registered MSBs

AML for Registered MSBs

Learning Objectives Administrative Advantages Dedicated Management Portal: A separate secure login designed specifically for management.…
Anti-Bribery & Anti-Corruption Course (FCPA)

Anti-Bribery & Anti-Corruption Course (FCPA)

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…
CFTC Customer Protection Rule

CFTC Customer Protection Rule

Price:  Length of Course:  Platform: Accessible from any device with seamless progress tracking    …
Futures Ethics – Periodic (Institutional Version)

Futures Ethics – Periodic (Institutional Version)

Learning Objectives Administrative Advantages Dedicated Management Portal: A separate secure login designed specifically for management.…
Hostile Work Environment Prevention

Hostile Work Environment Prevention

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…
Initial Futures Ethics

Initial Futures Ethics

Learning Objectives Administrative Advantages Dedicated Management Portal: A separate secure login designed specifically for management.…
Preventing Financial Exploitation of Specified Adults

Preventing Financial Exploitation of Specified Adults

Price: Length of Course: Description: Buy Now Individual Learner Register as an individual user &…
Sanctions

Sanctions

Price:  Length of Course:  Description: Buy Now Individual Learner Register as an individual user &…
Sexual Harassment Prevention (IL)

Sexual Harassment Prevention (IL)

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…
Sexual Harassment Prevention (NY)

Sexual Harassment Prevention (NY)

Price: Frequency: Length of Course: Description: Buy Now Individual Learner Register as an individual user…
Requirements & Recommendations

Required Courses

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

Recommended Courses

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