SEC on-going compliance

The primary focus of the RQC Group is to provide you with pragmatic and comprehensive compliance guidance and support. In addition, we are committed to consistently providing excellent client service.

SEC on-going compliance

The primary focus of the RQC Group is to provide you with pragmatic and comprehensive compliance guidance and support. In addition, we are committed to consistently providing excellent client service.

About our service

Our compliance monitoring is intended to help you build your business in a pragmatic and thoughtful way. We are able to provide you with visibility over the industry through our experience across our diverse client base. Our pragmatic approach takes into account both regulatory requirements and industry best practice.

Our extensive SEC compliance monitoring services include a visit from us on a monthly or quarterly basis. We typically like to work with clients on an ongoing basis because it allows us to better understand your business and your risks.

Click here if you would like more information on our on-going SEC compliance support services.

Service Checklist

Our ongoing service offering includes the following:

Form ADV amendments and updates

Review and updating of Compliance Manual and Code of Ethics

Development and maintenance of the compliance monitoring program

Quarterly onsite monitoring meetings

Annual compliance training

Compliance calendar and checklists

Rule 204(6) Annual Compliance Review

Marketing materials review

Assistance with regulatory filings e.g., Form PF and Form 13H

Targeted compliance testing – e.g., fees and expenses

Employee electronic communications review

Frequent industry updates

Ad-hoc regulatory queries

Assistance with regulatory examinations


Accessible

All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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Automated

All courses are delivered through fully-automated, interactive online visual solutions.

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Affordable

Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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Certified

A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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Measurable

All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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Fast

Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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