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Course/Product Description
Title:

Initial Futures Ethics Training (4 Hr. Interactive Program)

SKU:OT-1000737
Format: Online Training Course
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Description:

This program is for NEW futures industry registrants and is designed to meet the ethics training requirement as mandated in the National Futures Association Rule 2-9 and the Commodity Exchange Act. You may start and stop the course from any computer with Internet access and complete the program at your own pace.

The program begins with a discussion of the role of ethics by such notables as:

  • Justice Sandra Day O'Connor, Supreme Court of the U.S.
  • Robert Wilmouth, National Futures Association
  • Senator Richard Lugar of Indiana
  • Gary Perlin, former Treasurer of Fannie Mae and World Bank.

The remainder of the training program uses case studies that incorporate several categories of pertinent information including law, regulation, and professional conduct and include multiple choice quizzes.

Topics include:

  • five foundational virtues of ethics
  • four steps to ethical decision making
  • the Commodity Exchange Act
  • Racketeer Influenced and Corrupt Organizations Act (RICO)
  • NFA and registration issues
  • explanation of applicable laws, regulations and transaction execution
  • registrant's obligation to the public
  • soliciation
  • suitability
  • communications with the public/promotional materials
  • account opening and disclosure of material information to customers
  • hiring, supervision and internal controls
  • suspicious activity and reporting
  • proprietary trading, discretionary accounts and recordkeeping
  • prohibited trades, misappropriation, coattailing, insider trading
  • avoidance, proper disclosure and conflicts of interest

The IFM will immediately provide you with a certificate upon completion and also will retain your training completion records in electronic form for a minimum of five years for firm and NFA audit purposes.

Qualifications: The Institute has provided ethics training to the futures industry since 1994 and has qualified and completed relevant proficiency testing, as mandated in NFA Rule 2-9. The IFM, a leader in ethics training, develops its educational content from interviews with regulators and industry compliance professionals, and through research and review of enforcement cases.

Note: Upon ordering, an IFM staff member will contact you via email (Hours:M-F 9 AM-5 PM ET, excluding U.S. holidays) and provide instructions on how to access the program and provide you with a username and password.

Volume discounts are available for large firm orders. Please contact us for details.

About The Provider: Established in 1989, the Institute for Financial Markets (IFM) is a nonpartisan, nonprofit educational foundation. The IFM seeks to increase public awareness and understanding of the importance of financial markets and the financial service industry to the global economy and to improve the technical competence of those in the industry who deal with the public. In advancement of such purpose, the Institute engages in activities such as research, publications dissemination, e-learning, courses, roundtables, and conferences.

We focus our attention and educational activities primarily on derivatives markets — the vital markets for instruments like futures, options and swaps.
Price: $75.00
More Info: Contact Us For More Information
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