Course curriculum

  • 1

    Course Intro

    • Course Functionality

    • Terms and Definitions
  • 2

    Customer Protection

    • History of CFTC Customer Protections

    • Proper Use of Customer Funds

    • Customer Property Segregation

    • Cleared Swap Treatment and Prediction Markets
  • 3

    Accounting | Reporting | Notices

    • Accounting and Treasury Policies

    • Accounting Related to Customer Funds

    • Net Capital Reporting

    • CFTC Margin Adequacy Obligations

    • Target Residual Interest

    • Required Industry Filings and Notices

    • No Retaliation and Separation of Duties
  • 4

    Risk Management | Breaches | Disclosure

    • Risk Policies

    • Risk Management Program

    • Evaluating Risk

    • Establishing Internal Controls

    • Setting Thresholds and Breach Limits

    • Customer Disclosures and Record Keeping
  • 5

    Course Completion

    • Final Quiz

    • Rules, Regulations, and References