Displaying results 31 - 40 of 87
… in the firm's books and records; and (9) annual training of personnel responsible for compliance with the … require an SRO to: (1) Maintain staff of an adequate size, training, experience, and independence to effectively … is appropriate, and by requiring FCMs to implement training regarding the handling of customer funds. In …
… in the firm's books and records; and (9) annual training of personnel responsible for compliance with the … require an SRO to: (1) Maintain staff of an adequate size, training, experience, and independence to effectively … is appropriate, and by requiring FCMs to implement training regarding the handling of customer funds. In …
… in the firm's books and records; and (9) annual training of personnel responsible for compliance with the … require an SRO to: (1) Maintain staff of an adequate size, training, experience, and independence to effectively … is appropriate, and by requiring FCMs to implement training regarding the handling of customer funds. In …
… information and receive annual privacy and security training. Technical security measures within CFTC include …
...Federal Register, Volume 79 Issue 36 (Monday, February 24, 2014)[Federal Register Volume 79, Number 36 (Monday, February 24, 2014)]
[Notices]
[Pages 10126-10128]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-03788…
… written policies, standards, and procedures reinforced by training and periodic auditing. Technical security …
… monitoring, and compliance of ATSs; designation and training of algorithmic [[Page 78829]] trading staff; and … Sec. 1.81(d) that require AT Persons to establish training procedures for communicating and escalating … \217\ Registration of Floor Traders; Mandatory Ethics Training for Registrants; Suspension of Registrants Charged …
… CFTC staff are required to take annual privacy and security training. Technical security measures within CFTC include …
… measures includes workforce security awareness training. Technical security measures within the NFA and …
… 21(p), which requires a futures association to establish training standards and proficiency testing for persons …