Overview
Since 2001 when the Commodity Futures Trading Commission (CFTC or Commission) issued a Statement of Acceptable Practices (Statement) for ethics training, firms subject to the CFTC’s jurisdiction) have been required to provide ethics training to their associated persons. Firms subject to the Commission’s jurisdiction are generally members of the National Futures Association (NFA), and it too has provided guidance on ethics training. In its most recent Interpretive Notice regarding ethics training, effective September 30, 2019, NFA laid out information to assist firms in complying with the ethics training requirement.
Learning Objectives
The purpose of this course is to provide a thorough understanding of NFA requirements relating to ethics training. The course will focus on the minimum standards for acceptable ethics training and related compliance programs.
Upon conclusion of this course, you should
- Have a solid understanding of the various requirements relating to the provision of ethics training outlined in the CFTC Statement.
- Have a solid understanding of the requirements for NFA member firms to provide ethics training to their associated persons.
- Have a solid understanding of the ethical duties and obligations of registered and non-registered personnel in the commodity futures industry
Designed For
This course is designed for NFA members.
Find this course for your license:
License or Certification
Regulator
Type