Electronic Communications | 5.0
Electronic Communications Training
Course Functionality
Introduction to this Course
Terms and Definitions
The “Trojan Horse” – Working from Home
The Dream of Remote Work Becomes a Supervision Nightmare
Quiz 1
Background of Communication Record Keeping
CFTC Regulation 1.35
NFA and Exchange Communications Record Keeping
Meeting Regulator Expectations
Develop A Successful Electronic Communications Policy
Common Electronic Communication Policy Problems
Quiz 2
Documenting Supervisory Reviews
Determining a Proper Scope
Review Example 1 – Trade Reconstruction
Review Example 2 – Supervisory Communication Review
Regulatory Actions Are Forever
Quiz 3
Rules, Regulations, and References