WebJul 1, 2003 · Ethics training may be provided through a variety of media, including the Internet, audiotapes, computer software, and videotapes, as well as in-person courses. … WebAll FCCMA member categories except Corporate are required to take four (4) hours of ethics training. Training must be completed within FCCMA’s fiscal year, which extends …

News & Notices NFA I-97-03

WebCommodity Futures Trading Commission, but excluding all management officials, supervisors, and employees described in 5 U.S.C. §§ 7112(b)(2), (3), (4), (6), and (7). Section 2 Definitions . A. The following definitions shall apply to terms used in this Agreement: 1. The term “employee” means bargaining unit employees represented by … WebNFA Ethics Training Overview Since 2001 when the Commodity Futures Trading Commission (CFTC or Commission) issued a Statement of Acceptable Practices … san antonio waterfalls belize

Learn & Protect CFTC

WebDec 13, 2016 · CFTC, Commodities, Compliance & ethics, Compliance officer, Cross-border transactions, Derivatives, Financial regulation, Futures, International governance, Jurisdiction, Margin requirements, Risk management, Swaps, Swaps entities More from: Daniel Martin, Gail Bernstein, WilmerHale WebMar 16, 2015 · A copy of )'Our original CFTC Ethics Agreeme11t, including any mnendments to such agree1ne11t, a11d any correspondence between yo1t and the CFTC Ge11eral Counsel relating to such agreen1ent; 3. A copy of any otl1er docun1ents, guidance, or training 1naterials provided to you by tl1e CFTC or the U.S. 011ice of … WebJan 31, 2024 · Though this is not an exhaustive list, at a minimum, most registered CFTC firms should put in place the following policies: Account Opening Procedures Ethics Training Policies Business Disaster Recovery Social Media/Public Communications Promotional Procedures Allocation Procedures Supervisory Procedures Market Analyst … san antonio water wasters