Initial Ethics Training

 Image:  Initial Ethics Training logo

Initial Ethics Training

Details

Initial ethics training is specifically designed for those who are new to the industry and recently registered with National Futures Association (NFA) and helps firms meet training requirements as mandated by the Commodity Exchange Act and NFA Rule 2-9.  We recommended the online training be completed within the first six-months of hire.

The program uses cases studies to incorporate several categories of pertinent information including law, regulation, and sound judgment. Topics covered include registrant's obligation to the public; supervisory systems and internal controls, transaction execution; anti-money laundering; misappropriation of funds; proper disclosure; handling of conflicts of interest; marketing and advertising; sales and client education.

e-Learning Outcomes

  • Know their obligation to ensure just and equitable principles of trade
  • Understand the pertinent rules and regulations of the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA)
  • Recognize potential red flags
  • Employ decision making to ethical and cultural dilemmas
  • Appreciate individual accountability and personal responsibility
  • Understand the need to escalate concerns to compliance in a timely and appropriate manner

 

Training Duration: 90-120 minutes. A training certificate can be downloaded after successful course completion.

Recordkeeping: IFM maintains firm and employee training records for a minimum of five (5) years as required by NFA and CFTC.

 

Training Provider Qualifications


Purchase Options

Cost
$75 per person
Note
Volume discounts are available for firms with 16 or more participants. To take advantage of our deep discount, please contact the IFM at 202-223-1528, or via e-mail at info@theIFM.org.

Order Fulfillment: You will receive two emails 1) a confirmation of your transaction after you finalize your order, and 2) an email usually within an hour after you place your order with your training login credentials which are different from those used to place an order. Please note web-delivered product orders are fulfilled during normal business hours, Monday to Friday 9 AM to 5 PM Eastern Time, excluding U.S. holidays.