Expo 2017 Program
October 17-19, 2017 // Hilton Chicago // Chicago, Illinois
Thursday, October 19, 2017 at 4:00 PM
Training Workshop: CFTC Risk Management Training Requirements
CFTC Rule 1.11 requires FCMs to provide annual training for finance, treasury, operations, regulatory, compliance, settlement and other relevant officers and employees. This course is designed to cover required training topics such as segregation requirements, notice requirements, procedures for reporting suspected breaches of risk management policies and procedures, and the consequences of failing to comply.
Dale Spoljaric, Managing Director, Compliance, National Futures Association