NFA Privacy and Cybersecurity

Overview

Since the beginning of the digital era, the privacy of nonpublic personal information and the cyber protections necessary to protect that privacy has been growing concerns for the public and, increasingly, for firms in the financial services industry. From the passage of the landmark privacy legislation, Gramm-Leach-Bliley in 1999 to the latest cybersecurity programs of today, all financial institutions, including those in the futures industry and subject to regulation by the National Futures Association (NFA), have been required to take steps to ensure their customers’ privacy and to implement cybersecurity programs. 

Learning Objectives

The purpose of this course is to provide a thorough understanding of NFA requirements relating to privacy and cybersecurity. The course will focus on the minimum standards for acceptable privacy and cybersecurity compliance programs. The course will examine the requirements for both programs and the detailed structures necessary for such programs.

Upon conclusion of this course, you should

  • Have a solid understanding of the privacy obligations placed upon NFA and its member firms by Commodity Futures Trading Commission (CFTC) regulations
  • Have a solid understanding of the privacy requirements for NFA member firms and the futures industry.
  • Have a solid understanding of the cybersecurity obligations placed upon NFA and its member firms by CFTC regulations
  • Have a solid understanding of the cybersecurity requirements for NFA member firms and the futures industry
  • Understand the precise requirements for a Privacy program under CFTC and NFA rules.
  • Understand the precise requirements for a Cybersecurity program under CFTC and NFA rules.
  • Understand the implementation of acceptable Privacy and Cybersecurity programs

Designed For

This course is designed for NFA members and Introducing Brokers.
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