All Ethics Courses Include: |
“The Walsh Agency’s Periodic and Initial Ethics Training courses include the following topics as required by the Commodity Futures Trading Commission and the National Futures Association.”
- Communications with the Public
- Financial situation and investment experience of prospects and customers
- Disclosure of material information
- Sales practices
- Acting honestly and fairly with due skill, care and diligence in the best interest of customers and the market – including treatment of customer orders and handling of customer business
- Managed money and futures funds – including responsibilities of Commodity Trading Advisors and Commodity Pool Operators
- Resolution of conflicts of interest
- Confidentiality and contract markets
- Supervision and internal controls
- Rules and Regulations of the CFTC, the NFA and Exchanges