Market Conduct

It is more important than ever that traders learn and abide by the rules of the markets they trade in. Both CME and ICE claim jurisdiction over everyone who accesses their markets.Ignorance of the rules is no excuse. Protect yourself and your traders with the Exchange Analytic’s Market Conduct Course.

Exchange Analytics

Exchange Analytics is offering the newly revised Customer Protection Course and AML Course for 2019. The content is up to date with all the latest regulations and cases included.

Market Conduct

Exchange Analytics, the leading provider of training to the futures and derivatives industry, is now offering an online training program on Market Conduct. This offering is designed to instruct traders and brokers about  CFTC, CME and ICE rules and regulations regarding trading practices such as spoofing and wash sales. In light of all the recent enforcement … READ MORE

EFRP and Block Trades

Exchange Analytics, the leading provider of training to the futures and derivatives industry, is now offering a training program devoted to Block trading and EFRP.  This course, entitled “Non-Competitive Trading Practices” is designed to educate all staff in the requirements at the CME, ICE and ICE Europe.  

CYBERSECURITY TRAINING

Exchange Analytics, has launched a Cybersecurity Training program for the futures and derivatives industry. This 45 minute online course has been designed to satisfy the NFA cybersecurity requirements that went into effect on March 1, 2016. Please contact Exchange Analytics for details.

Training in the New Customer Protection Rules

I have worked in conjunction with Exchange Analytics to develop an online course to satisfy the annual training requirements of the “Customer Protection Rules” that took effect in January, 2014. Exchange Analytics is the leading provider of Ethics and AML training to the futures industry. We are proud to say that 24 futures FCMs have … READ MORE

Risk Management Reviews-The Deadline Approaches

I am working with RPM Financial Markets Group, LLC to provide an independent review service for FCM Risk Management Programs. The Enhanced Customer Protection rules that became effective in July, 2014, require every FCM to adopt and implement a Risk Management Program. In addition there is a requirement for an annual review of the program … READ MORE

Customer Protection

We are in the home stretch in implementing the Customer Protection Rules adopted by the CFTC in October 2013. On July 12, 2014, FCMs will need to have the following in place: Detailed Financial Disclosures on their website. Firm specific Risk Disclosure. Implementation of a Risk Management Program. New acknowledgement letters from depositories. The only … READ MORE

Acknowledgment Letters

The Joint Audit Committee issued a Regulatory Alert to remind FCMs that any new accounts for segregated funds, secured funds or sequestered funds will need an acknowledgment letter in the form of the revised standard template and that all existing accounts will need new acknowledgment letters by July 12, 2014.