Market Conduct Courses

Initial ethics training is specifically designed for those who are new to the industry and recently registered with the National Futures Association (NFA). This courses uses case studies to highlight ethical and regulatory responsibilities, combining law, compliance, and sound judgment. It helps firms meet training requirements as mandated by the Commodity Exchange Act and NFA Rule 2-9. CONTINUE READING

The IFM's Periodic Ethics Training helps firms and registrants meet ongoing training requirements as mandated by the Commodity Exchange Act (CEA) and National Futures Association (NFA) Rule 2-9. This interactive training is built upon case studies that incorporate several categories of pertinent information including law, regulation, professional ethics and sound judgment. CONTINUE READING

This course provides a clear understanding of various money laundering techniques and their threats to the financial industry. Learners will gain a better understanding of the regulations designed to detect, monitor, and prevent criminal actions. Interactive scenarios are designed to help industry participants detect, prevent and respond effectively to attempts to launder money through their firms and the futures markets. CONTINUE READING

This course provides a high-level overview of prohibited and disruptive practices on futures and options exchanges. It helps market participants avoid potential exchange violations and fines and/or regulatory actions and civil penalties. This course is designed to help meet regulatory training requirements for direct market access participants.
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This course has been jointly developed by NFA, FIA, and industry professionals to help market participants understand the safeguards in place to protect customer funds in the futures market. It is designed to meet Commodity Futures Trading Commission Rule 1.11 that mandates annual training for all finance, treasury, operations, regulatory, compliance, settlement, and other relevant officers and employees within the organization. CONTINUE READING

Preventing manipulation of derivatives markets, and spoofing behavior, in particular, is a priority for both exchanges and regulatory authorities. This course draws on recent cases to cover the basics of spoofing and how to avoid activity that may constitute or appear to be spoofing behavior. It also provides guidance on what to consider when designing a supervision and compliance program. CONTINUE READING