Walsh Agency, Inc. is an authorized ethics training provider.
Neither the Commodity Futures Trading Commission nor the National Futures Association has reviewed or approved the specific content of authorized ethics training programs, nor do they recommend any providers of such training.
The Commodity Futures Trading Commission's regulation 3.34 Mandatory Ethics Training reads in part "registrants must attend ethics training to ensure that they understand their responsibilities to the public under the Act including responsibilities to observe just and equitable principles of trade, rules and regulations of the Commission, rules of any appropriate contract market, registered futures association, or other self-regulatory organization or any other applicable federal or state law, rule or regulation."
Since the regulation is about rules and regulations, our ethics training is about rules and regulations. We designed our courses to teach registrants the law, to help keep themselves, their supervisors, and the officers and owners of their companies out of trouble and to conduct themselves ethically.
To make sure our courses teach the best information to meet these objectives, we interviewed more than twenty key compliance people from: major brokerage firms, Commodity Pool Operators, Commodity Exchanges, and regulators from the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA). We asked them what they looked for to assure themselves that registrants were complying with the law and acting ethically. We asked them what are the most common violations as well as the most serious. They gave us literally hundreds of examples. Our ethics training includes the ones we felt were most important.
Everything in our courses is based on facts. The examples and case histories came from our surveys of compliance officers and regulators and the following literature:
The development of this Ethics Training has been underwritten by:
Note: This Ethics course is for all categories of registrants except floor brokers and floor traders.
The file for this course contains 1.3
megabytes. It takes approximately 3 minutes to download with
a 56k modem.
Institute for Ethical Behavior