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Safeguarding Customer Funds
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. This online course is designed to meet the training requirements mandated by the Commodity Futures Trading Commission Rule 1.11. According to the rule, all finance, treasury, operations, regulatory, compliance, settlement, and other relevant officers and employees within the organization must be trained annually. The course includes interactive exercises to test comprehension.
CONTINUE READINGPeriodic Ethics Training
The IFM's Periodic Ethics Training is designed to helps firms and registrants meet ongoing training requirements as mandated by the Commodity Exchange Act (CEA) and National Futures Association (NFA) Rule 2-9. The interactive training is built upon case studies that incorporate several categories of pertinent information including law, regulation, professional ethics and sound judgment. The core of the program involves two hypothetical case studies that take place in different firms.
CONTINUE READINGMarket Conduct Fundamentals
This course provides a high-level overview of prohibited and disruptive practices and exchange requirements in the futures and options industry. The course is designed to help market participants avoid potential exchange violations and fines and/or regulatory actions and civil penalties.
CONTINUE READINGAnti-Money Laundering Compliance Training
The course provides a clear understanding of the various techniques of money laundering and their threats to the financial industry. Students will learn about the regulations designed to detect, monitor, and prevent criminal actions. The interactive, audio-enhanced course is designed to help industry participants detect, prevent and respond effectively to attempts to launder money through their firms and the futures markets.
CONTINUE READINGGive Up Essentials 2: Troubleshooting Real-World Scenarios
Give-Up Essentials, the pre-requisite to this course, uses give-up trade flows to show how the process works when everything runs smoothly. This course examines problems that can arise during give-up trade processing. It identifies where failures occur and explores how problems can be resolved.
CONTINUE READINGGive Up Essentials
Whether you’re a customer or an employee at a broker, exchange, or CCP, understanding give ups and the complexities they add to the trade flow is essential. This online course illustrates how the introduction of give ups alters the trade flow for futures and options on futures.
CONTINUE READINGAverage Pricing
This course provides a comprehensive overview of average pricing, including how and why futures and options trades are average priced. It explains how fund managers achieve fair and equitable distribution of trades among their customers by using average pricing or best fit methodologies.
CONTINUE READINGNavigating Give Up Agreements
This course provides an in-depth explanation of the different versions of the FIA International Uniform Give-Up Agreement, what it covers, clarifies the roles and obligations of each party, and illustrates the Give-Up Agreement workflow. Interactive scenarios offer practical ways to troubleshoot everyday issues.
CONTINUE READINGImproving the Timeliness of Give-Up Processing
How is the industry addressing friction points that cause delays in give-up processing? This webinar features members of the Derivatives Market Institute for Standards who have been actively implementing the Final Standard for Improving Timeliness of Trade Give-Ups and Allocations (30/30/30) released in June 2023. Representatives from brokerage firms and clients share how they identified and resolved issues causing processing delays, reduced risk and increased the percentage of trades in the right account on T+0.
CONTINUE READINGUS Treasury market gears up for central clearing
Banks, broker-dealers, asset managers and other participants in the US Treasury market are scrambling to comply with a regulatory mandate to step up their use of central clearing.
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