MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of the new Firm Element course, “NFA Ethics – Vol. 3” to its Firm Element e-learning catalog.
This course delves into the NFA’s pivotal role in maintaining market integrity, ensuring compliance, and safeguarding investors against fraudulent practices. Participants will explore the evolution of and current regulatory framework overseen by the Commodity Futures Trading Commission (CFTC), emphasizing the importance of ethical conduct and transparency. Through comprehensive modules, case studies, and practical insights, this course equips financial professionals with the knowledge and tools necessary to navigate the complexities of the derivatives market while upholding the highest ethical standards.
This course will focus on three core topics: 1) History of The Regulatory Bodies Governing Derivatives Markets, 2) NFA Rules that Govern that Derivative Markets, and 3) Conflicts of Interests and Compliance Guidelines.
Course Topics Include:
- The CFTC Today
- The National Future Association
- Building a Culture of Compliance
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.