Training in the New Customer Protection Rules

I have worked in conjunction with Exchange Analytics to develop an online course to satisfy the annual training requirements of the “Customer Protection Rules” that took effect in January, 2014. Exchange Analytics is the leading provider of Ethics and AML training to the futures industry. We are proud to say that 24 futures FCMs have contracted to use our course and we expect to work with several more before the July deadline.

Reg. 1.11 requires annual training for all finance, treasury, operations, regulatory, compliance, settlement and other relevant officers and employees. The training must cover segregation requirements for segregated funds, the requirements for notices under Section 1.12, procedures for reporting suspected breaches of the policies and procedures to the Chief Compliance Officer without fear of retaliation, and finally the consequences of failing to comply with segregation requirements.

The Exchange Analytics course satisfies this requirement in an efficient and cost effective manner. In addition each FCM will be provided with a database and audit trail to insure their employee’s complete the course in a timely fashion.

Please contact me or Larry Israel for further information. We will both be attending FIA Law & Compliance April29- May 1, 2015.

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