MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Swap Dealer Activities: CFTC Oversight,” to its Firm Element e-learning catalog.
Course takers will gain an overview of swap activity and how it fits within today’s broker-dealer environment. Explore what swaps are, why firms use them, and who typically participates in swap transactions. While swaps are generally institutional products not offered to retail clients, understanding their role helps explain why they receive heightened regulatory attention within firms. The course introduces how swap activity is overseen under the Dodd-Frank Act, including the roles of the Commodity Futures Trading Commission and the SEC.
This course focuses on three core topics: 1) Swap Data Repositories: How Regulators See Activity, 2) Understanding Swaps: Types, Uses, and Risks, and 3) Swap Execution Facilities: Bringing Transparency to Trading
Course Topics Include:
- Swap Dealers & Basics
- Key Goals of Dodd-Frank
- Special Entities
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com
