Course curriculum

  • 1

    Welcome to Turnkey Training

    • Course Functionality

    • Terms and Definitions
  • 2

    Communication Supervision

    • Introduction and Industry Regulations

    • The “Trojan Horse” – Working from Home

    • Remote Work A Supervision Nightmare?
  • 3

    Policy Development

    • Background of Communication Record Keeping

    • CFTC Regulation 1.35

    • NFA and Exchange Communication Rules

    • Building A Successful Policy

    • Common Communication Policy Problems

    • Meeting Regulator Expectations
  • 4

    The Review Process

    • Documenting Supervisory Reviews

    • Determining a Proper Scope

    • Time To Take It Seriously
  • 5

    Course Completion

    • Final Quiz

    • Rules, Regulations, and References