Course curriculum

  • 1

    Course Introduction

    • Course Functionality

    • Introduction to this Course

    • Terms and Definitions
  • 2

    Course Content

    • The “Trojan Horse” – Working from Home

    • The Dream of Remote Work Becomes a Supervision Nightmare

    • Quiz 1
  • 3

    Electronic Communications Regulations

    • 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
  • 4

    The Review Process

    • Documenting Supervisory Reviews

    • Determining a Proper Scope

    • Review Example 1 – Trade Reconstruction

    • Review Example 2 – Supervisory Communication Review

    • Regulatory Actions Are Forever
  • 5

    Course Conclusion

    • Quiz 3

    • Rules, Regulations, and References