Ethics e-Learning

Ethics training is mandated per NFA Rule 2-9 and the Commodity Exchange Act to keep employees cognizant of industry developments and their ethical implications.

The IFM's professional conduct web-delivered training programs employ a realistic, case-study approach to convey regulatory and professional conduct issues in an engaging and educational manner.  We develop training content from interviews with regulators and industry compliance professionals, and through research and review of enforcement cases.  We use a holistic approach to professional conduct training that reinforces the Associated Persons' responsibility in ethical decision-making and their role in maintaining their firm’s principled corporate culture that places client interests and ethical considerations at the core of its business decisions.

NFA Member firms can rely on the regulatory certainty, quality content and reputation delivered through the IFM's online training programs.

Easy Implementation

  • Easy-to-use learning format available on our global 24/7 web portal
  • Monitor training with real-time tracking and record-keeping of each employee from start through completion
  • Option to integrate through your firm's LMS
  • Consolidated reports for NFA audits
  • Thought-provoking case studies that keep learners interested and engaged
  • Reporting for compliance and audit purposes of firms or individuals as required by the CFTC's Statement of Acceptable Practices

 

Reliable Recordkeeping

Learners can immediately print a certificate of training completion at the end of the course and completion will be instantly shown to firm's compliance administrator via IFM's Tracking and Reporting System.  Our real-time system allows compliance administrators the ease of monitoring their firm's staff enrollments, training progress and reports for internal and NFA audit purposes. Weekly emailed summary reports also are available upon request. In addition, the IFM maintains firm and employee training records for a minimum of five (5) years as required by law.

 

Trainer Qualifications

The IFM is a qualified provider of futures industry ethics training and has completed relevant proficiency testing as mandated by the NFA.

In 1994, the Institute was approved by the Commodity Futures Trading Commission (CFTC) to provide ethics training to all relevant categories of Commission registrants. In authorizing the Institute as an educational provider, neither the Commodity Futures Trading Commission (CFTC) or NFA approved the specific content of the ethics training programs of the IFM (or that of any other provider), and as such the regulators do not provide nor expresses an opinion as to the quality or accuracy of the programs.  

Our qualifications as an ethics training provider may be verified by contacting NFA’s Vice President of Registration at the corporate headquarters located at 300 S. Riverside Plaza, Suite 1800, Chicago, IL 60606-6615 or by telephone 312-781-1300.