Futures Industry Ethics Training Programs
For dates and locations click here.
Click to Register Online or call 202.223.1528.
The Institute provides new to industry registrants (initial training) and periodic ethics training programs. Our interactive Web-based courses are available instantly and users can start and stop training at their leisure from any computer. Students can immediately print a certificate of training completion at the end of the course and completion will be instantly reported to firms via IFM's Tracking and Reporting System that allows authorized firm administrators to monitor staff enrollments and training progress and print completion reports for internal use and NFA audit purposes.
Our training programs employ a case-study approach to convey regulatory and
professional conduct issues in an engaging and educational manner. Training
focuses on sharpen the participant's professional judgment through analysis of
practical, industry-based issues. The Institute develops its ethics training
content from interviews with regulators and industry compliance professionals,
and through research and review of enforcement cases.
Quick Links:
Web-based 1-hour Periodic Training
Web-based 4-hour Initial/New-to-the-Industry Training
Initial /New to Industry Ethics Training
This comprehensive (4-hour) Web-course begins with an introduction on
professional ethics from Justice Sandra Day O'Connor, Senator Richard Lugar
and Robert Wilmouth of the NFA and others. The program incorporate several
categories of pertinent information including law, regulation, and sound
judgment and topics such transaction execution; registrant's obligation to
the public; supervisory systems and internal controls, relationship with industry
participants; anti-money laundering; misappropriation of funds; proper disclosure;
handling of conflicts of interest; marketing and advertising; and client education.
This Initial/New to Industry Training programs helps firms and registrants meet their ethics training requirements as mandated by the Commodity Exchange Act and National Futures Association (NFA) Rule 2-9.
Cost: The Initial/New to Industry Ethics Training program is competitively priced at $75 per person and volume discounts as well as cost-saving Ethics and Anti-Money Laundering training packages are available. In addition firms receive the IFM's FREE online Tracking and Reporting System that provides authorized administrators from firms the ability to monitor staff enrollments, training progress and print reports for internal and NFA audit purposes.
Quick Link:
Web-based 4-hour Initial/New-to-the-Industry Training
Periodic Ethics Training
The IFM's Periodic Ethics Training Program is an interactive, 1-hour Web-course and
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.
The first case explores a number of issues at a firm including the adequacy of the firm's customer
identification program, suspicious behavior by a prospective client, pressure to approve the
opening of a new account, and a questionable economic/financial purpose for a futures account.
While the second case touches upon a number of issues related to communications with the public,
solicitation of clients, websites and chat rooms, risk disclosure, conflicts of interest, disclosure
of material information to customers, trading ahead of a client, and effective supervision.
The IFM's Periodic Ethics Training Program helps firms and registrants meet ongoing training requirements as mandated by the Commodity Exchange Act and National Futures Association (NFA) Rule 2-9.
Cost: The Periodic Ethics Training program is competitively priced at $35 per person and volume discounts as well as cost-saving Ethics and Anti-Money Laundering training packages are available. In addition firms receive the IFM's FREE online Tracking and Reporting System that provides authorized administrators from firms the ability to monitor staff enrollments, training progress and print reports for internal and NFA audit purposes.
Quick Link: Web-based 1-hour Periodic Training
QUESTIONS?
Please contact us at 202.223.1528 or email info@theIFM.org
or see our FAQs (Frequently Asked Questions).
