Swap Dealer Ethics – Periodic 2024

This course is designed to satisfy the CFTC and NFA ethics training requirements for Swap Dealers and their Associated Persons, and other registered individuals. An amendment to NFA Rule 2-9(d) regarding supervision confirms long-standing ethics training obligations that apply to futures registrants also extend to Swap Dealers. Drawing upon our decades-long expertise in delivering ethics training to the futures industry, we have tailored this course to specifically address Swap Dealers' distinct requirements. This course covers various topics, including but not limited to: "Know your counterparty" requirements, Institutional suitability and safe harbor, Dealing with special entities, Conflict partitions, and Daily Marks.

The course takes approximately 50 minutes to complete.

This course is designed to satisfy the CFTC and NFA ethics training requirements for Swap Dealers and their Associated Persons, and other registered individuals. An amendment to NFA Rule 2-9(d) regarding supervision confirms long-standing ethics t...