The FIA Training Workshop series is designed to help industry professionals meet their training obligations. Topics include algorithmic trading, recordkeeping and exchange rules. Each training session will demonstrate how an effective training program can help avoid rule violations and can impact the regulator’s response when a violation occurs. Participants will be given a certificate upon the completion of each course.
Sign up for single workshops or the whole series.
Single Workshop (Single Session): $145.00 Member / $165.00 Non-Member
Workshop Series (Single Day – Thursday): $540.000 Member / $730.00 Non-Member
Note: FIA is managing the FIA Training workshop series registration through the Expo 2018 registration site. FIA Training Workshop registration gives you access to the Expo trade show and key networking events.
10:45 a.m. Recordkeeping: Training on Revised Rules
Imagine that you have received a request from the CFTC or the NFA for records. This session will train session participants on various aspects of recordkeeping including format, retention and accessibility to better prepare you to respond to such an inquiry. What do recently revised CFTC rules (1.31) mean in practice? What are the regulators expecting to see when they conduct an audit? Speakers will use actual experiences in responding to regulatory inquiries to advise participants on best practices for retaining records.
1:00 p.m. Training on Exchange Rules
As self-regulatory and membership organizations, exchanges can audit, inquire and discipline their participants. Knowledge of exchange rules, which can change frequently, is critical to a successful compliance and training program. This session will take an in-depth look at areas where additional training makes a difference in how regulators respond to rule violations.
2:15 p.m. Algorithmic Trading: Training to Avoid Disrupting Markets
When a disruption occurs, exchanges waste no time asking questions of market participants to understand the source. Speakers will address the questions commonly raised in an inquiry from an exchange when a potential disruption occurs along with strategies for responding. This session will cover steps that could be taken during development, launch and operation of algos to avoid types of disruptive practices such as spoofing, flickering, layering and reporting potential rule violations. Delegates will go away with a better understanding of the components of an effective training and supervision program for algorithmic trading.
Schedule subject to change.
Certificates of completion will be available for each workshop. You must scan out of the workshop in order to receive a certificate. Certificates will be emailed to you within one month of the event.
Other FIA Training Opportunities
FIA Training also offers online courses. Check out currently available courses and what’s coming soon!