SEC Compliance:
Refresher Training for SEC Registered Investment Advisers

The price for this course: £45.00 excl. VAT

SEC Compliance:
Refresher Training for SEC Registered Investment Advisers

The price for this course: £45.00

Course duration 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

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.

If you’d prefer support from our team, please click ‘Contact Sales’ on any of our course pages, fill in the form and we will contact you to provide assistance.

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:

£45.00 excl. VAT

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