Swap Dealer Bundles

An entity that holds itself out as a dealer in swaps; makes a market in swaps; regularly enters into swaps with counter-parties as an ordinary course of business for its own account; or engages in any activity causing the entity to be commonly known in the trade as a dealer or market maker in swaps.

Key Course for Swap Dealers

Pick and choose from the course's 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

These courses are required

Anti-money Laundering
(annually)
Cybersecurity
Annually
Swap Dealer Marketing Materials Requirements
(prior to authorization to create, review or approve marketing materials)
Swap Dealer Periodic Ethics
(every 3 years)
Identity Theft Prevention
(at least every 2 years)

Recommended Courses

Intro to Swap Dealer Requirements
(upon hire)
Intro to Asset Management
(upon hire)
Market Conduct
(2-3 years)
Noncompetitive Trading - U.S. and Global
(2-3 years)