Ethics

Professional ethical standards are an essential element of each Member's business model. Employees should receive periodic training to keep them cognizant of industry developments and their ethical implications. Members should have written procedures that outline their ethics training program. For more information visit the Ethics Training Policy Questionnaire. If you use an online course for ethics training, print out a copy of the table of contents to prove what topics are covered and state the firm who provided the training. Include these as part of your procedures. A list of ethics providers from an older NFA Notice to Members is still accessible, however, NFA no longer maintains or updates this list.

Tip: Be sure that you maintain records demonstrating that all of your APs are attending ethics training according to the frequency established in your procedures.

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