LAW AND COMPLIANCE IN FUTURES TRADING
This course will offer an in-depth exploration of the complex legal landscape that governs the futures trading industry. Aimed at law students, lawyers, compliance officers, and industry professionals, the course will cover the key aspects of the futures market’s legal infrastructure, federal and state regulations, the role of the regulatory agencies, ethical concerns, and compliance strategies. The course will also examine international laws and compliance requirements as they relate to futures trading, providing a comprehensive overview of the subject.
Course Objectives
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Provide a comprehensive understanding of the key laws and regulations governing the futures trading industry.
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Analyze the role of regulatory agencies such as the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA).
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Study the legal cases that have had significant impacts on futures trading and compliance.
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Investigate compliance strategies to adhere to the legal requirements and ethical standards.
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Examine international laws and regulations that impact futures trading on a global scale.