National Futures Association (NFA) Training Program Compliance Courses

by Julie S. Mendel, SILA-A, CDEi | Sep 16, 2021
National Futures Association Training Program Compliance Courses

Every member of the National Futures Association (NFA) is subject to NFA rules and Commodity Futures Trading Association’s (CFTC) regulations. These rules include annual requirements and specific standards your firm’s training programs need to meet in order to be NFA compliant.

WebCE is excited to announce three new courses for NFA members. Each of these courses is designed to help futures commission merchants (FCM) and introducing brokers (IB) keep their firm’s internal training compliant with NFA and CFTC standards.

Building an NFA-Compliant Anti-Money Laundering Compliance Program

NFA member firms are required to have a written anti-money laundering (AML) compliance program in place, specifically tailored for your firm’s operations. The purpose of requiring an AML program is to guard against someone using the firm to launder money or finance terrorist activity.

WebCE is excited to now offer the course NFA Anti-Money Laundering Compliance. This course focuses on the specific requirements your firm’s AML program needs to meet in order to be NFA-compliant. It also provides a detailed understanding of common money laundering and terrorist financing activities, as well as everything you need to know to ensure your firm’s AML compliance program is meeting the National Futures Association’s minimum requirements.

Building NFA-Compliant Privacy and Cybersecurity Programs

Since the beginning of the digital era, privacy and cyber protections of our personal information has been a growing concern for the public. This has become especially true for firms in the financial services industry today.

All financial institutions are required to take steps to ensure their customers’ privacy. This includes firms in the futures industry and those subject to regulation by the National Futures Association (NFA).

To ensure your firm’s cybersecurity program meets NFA standards, WebCE is pleased to now offer the online course NFA Privacy and Cybersecurity. This course focuses on the minimum standards for your firm’s privacy and cybersecurity compliance programs need to meet. It examines the requirements for both programs in detail and how each program should be structured.

Building an NFA-Compliant Ethics Training Program

Firms subject to the Commodity Futures Trading Association (CFTC) are required to provide an ethics training program. CFTC firms are also generally NFA members, which also has provided guidance on complying with ethics training requirements.

WebCE’s third new NFA compliance course is NFA Ethics Training. This course details the minimum standards your firm’s ethics training program needs to meet to be compliant with the National Futures Association. It provides a solid understanding of your personnel’s ethics duties and obligations so your ethics training can run smoothly.

Order NFA Training Program Compliance Courses

Each of these National Futures Association (NFA) compliance courses are live in the WebCE Securities Catalog! You can even filter by NFA so you can find your NFA compliance training courses more quickly.

Ready to order courses and ensure your firm’s training programs are NFA compliant? You can order these and other security and workplace training programs in the WebCE catalog, or feel free to reach out WebCE’s world-class support team at 877-488-9322 and we’ll walk you through every step.

WebCE Securities Catalog