SEC Compliance:
Refresher Training for SEC Registered Investment Advisers
The price for this course: $68.00
SEC Compliance:
Refresher Training for SEC Registered Investment Advisers
The price for this course: $68.00
60 mins
This course provides a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.
The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.
This module is suitable for anyone that is working for an SEC-regulated Investment Firm.
Learning outcomes
On completion of this refresher course, you will:
• Understand why firms are registered with the SEC,
• Appreciate the importance of the firm’s Form ADV as a key public disclosure document
• Refresh your knowledge on the adviser’s fiduciary responsibility to clients
• Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
• Understand advertising rules and restrictions
• Understand required disclosures to clients and investors
• Understand reporting requirement to the SEC, including all relevant forms
• Understand insider dealing and financial crime framework
• Have a sound understanding of the SEC supervises firms
Purchasing, Onboarding & Volume Discounts
Course outline
-
Introduction
- Why the firm is registered with the SEC
- Form ADV
- Fiduciary Obligations to Clients -
Compliance Framework
- The Importance of Policies and Procedures
- Examples of Typical Policies and Procedures
- The SEC’s Anti-fraud Provisions
- The Chief Compliance Officer
- Conflicts of Interest
- Code of Ethics
- Check Your Understanding -
Providing Advisory & Investment Services to our Clients
- Suitability
- Best Execution
- Aggregation & Allocation
- Cross Trades
- Proxy Voting
- Custody
- Additional Controls
- Check Your Understanding -
Marketing & Advertising
- What is Advertising
- Restrictions -
Disclosures to Clients & Investors
- Brochure Rule
- Form CRS
- Client Agreements
- Paying Others to Solicit New Clients
- Privacy
- Check Your Understanding -
Reporting to the SEC
- Form ADV
- Annual Updating Amendment
- Other than Annual Amendments
- Form PF
- Form CRS
- Financial and Disciplinary Information -
Financial Crime
- Insider Trading
-Material Non-public Information
- Market Manipulation
- Money Laundering
- AML Red Flags
- Bribery
-
SEC Supervision
- How the SEC Supervises the Industry
- Managing Communications with the SEC
- SEC Examinations
- Concluding a SEC Examination
- Enforcement
- Common Issues in Enforcement Actions -
Quiz
- 80% Pass Mark
-
Conclusion
- Key Points
The price for this course:
$68.00
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