STC’s Ethical Decision Making for Commodities Professionals satisfies the NFA Rule 2.9 requirement for ethics training. Our module engages the learner as it walks them through a series of real-life ethical dilemmas faced by financials services professionals. Topics include: your firm’s ethical standards, NFA rules, dealing fairly with customers, insider trading, and fraud.
Ethical Decision Making for Associated Persons of Registered Swap Dealers
Ethics is a set of moral principles or values that guides behavior. Within a profession, ethics refers to the code of conduct that governs that group’s actions (i.e., how members interact with outsiders and with one another). Through multiple case studies and discussions, this module will examine industry practices, regulations, and standards to provide a starting point for determining the appropriate way to conduct business.