Energy Trading Compliance

CPE: 7.5 hours
Course: Basic to Intermediate
Prerequisites: None.
Instructional Method: Live
Cost: $898
Schedule:  8:30am – 4pm. Lunch is provided at 12pm.

Upcoming Dates


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    Brief: Energy Trading Compliance is now in the spotlight with the implementation of the Dodd-Frank regulations by the Commodity Futures Trading Commission.  The current regulatory environment demands state-of-the-art recordkeeping and reporting, compliance audits, trading policies, and codes of conduct.  How should the foregoing be done for your trading company?  How should the recordkeeping and reporting be integrated for the best possible result?  What is the role of the Chief Compliance Officer for a non-Swap Dealer and a non-Major Swap Participant?  What are the “hot button” issues of the regulators in the energy markets?  How would your company handle non-compliance by a “star” trader?  The following daylong seminar will address all these issues and more.

    You will learn:

    Components of a State-of-the-Art Energy Trading Compliance Program

    Recordkeeping and Reporting Swaps and Options for Your Company

    The Duties and Risks of the Chief Compliance Officer

    Auditing Compliance with the New Dodd-Frank Regulations

    Energy Trading Compliance Case Studies

    The New Direction of the Regulators


    Day 1 – 8:30am – 4:00pm

    1. Energy Trading Compliance Overview (830 to 900)
      1. Market, Credit, Regulatory, Systems, Systemic, Etc. Risks
      2. Overview of Tools and Issues in Energy Compliance Risk Management
      3. Compliance Risk Audits
    2. Trading Regulations (900 to 1015)
      1. CFTC Dodd-Frank Regulations
      2. FERC Regulations
      3. Regulations on Manipulation
      4. Swap, Forward or Futures Trading
      5. Trading Limits and Rules after Dodd-Frank
    3. Compliance with Dodd-Frank Regulations (1030 to 1200, and 100 to 130)
      1. How does Compliance Risk differ from traditional Risk Management
      2. Scale and Scope of Compliance Accountabilities
      3. Setting up Trading Controls after Dodd-Frank
      4. Chief Compliance Officer Duties and Risks
      5. Recordkeeping and Reporting on Swaps, Futures and Forwards
      6. Monitoring Compliance Every Trading Day
      7. Risk Management Team’s Required Skills and Interaction (It’s not what your think!)
      8. Auditing Compliance and Forward Price Curves, Volatility, Etc.
      9. Systems Requirements and Issues
      10. New Product Development
    4. Trading Policies Approved by the Board of Directors (130 to 215)
      1. Trading Limits by Commodity, Time, VAR, Cash, Etc.
      2. Business Conduct Rules
      3. Valuation-at-Risk
      4. Reporting to Board; Notification Regarding Breaches
      5. Interaction with Traders
    5. Codes of Conduct and Sales Practices (215 to 300)
      1. Guidelines for Interaction with Customers
      2. Disclosure Obligations
      3. Interaction with Regulators
      4. Rigorous Enforcement and Monitoring of all Employee Obligations
    6. Compliance Risk Management Case Studies for Energy Trading (300 to 400)
      1. Work Through 6 Energy Compliance Risk Management Challenges
      2. Develop Trading Strategies to Better Manage the Risks
    7. New Directions for Compliance Risk Management
      1. What are the regulators’ expectations?
      2. What are the obligations of DCM, DSC, SEF’s
      3. The “roll-down” effect


    This seminar is also available as an in-house seminar brought to your office. Contact us for more details.

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    CPE Credits:  Registered with the National Association of State Boards of Accountancy as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses. Complaints regarding sponsors may be addressed to NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417.  Web site:

    We have entered into an agreement with the Texas State Board of Public Accountancy to meet the requirements of CPE rules covering maintenance of attendance records, retention of program outlines, qualifications of instructors, program content, physical facilities, and length of class hours. This agreement does not constitute an endorsement by the board as to the quality of the program or its contribution to the professional competence of the licensee.

    Refund Policy: If the registrant or his or her agent cancels a registration 3 days or more prior to the seminar date, Energy Seminars, Inc. (ESI) will impose a cancellation fee of $35 if paid by check, money order, VISA, or MasterCard, or $50 if paid by AMEX. If the registrant is a no-show or the registration is canceled less than 3 days prior to the seminar date, ESI can offer only a letter of credit to any future seminar.

    For more information regarding our complaint and refund policies, please telephone our offices at 281-362-7979.