SEC Compliance online training courses

   Course takes 60 minutes to complete

  Only $50

   Volume discounts for multiple-course purchases

   Fully automated interactive online solution

    Course outline:

• Induction Training for SEC Registered Investment Advisers

  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
  – Suitability
  – Best Execution
  – Aggregation & Allocation
  – Cross Trades
  – Proxy Voting
  – Custody
  – Additional Controls
  – Check Your Understanding

  Marketing & Advertising- Suitability
  – 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

• Refresher Training for SEC Registered Investment Advisers

  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

• Compliance Issues from SEC Examinations

  Introduction
  – Private Fund Advisers
  – Common Deficiencies & Compliance Issues

  Conflicts of Interest
  – Adviser obligations

  Fees and Expenses
  – Understanding the SEC’s Concerns with Fees and Expenses
  – Allocation of Fees and Expenses
  – Operating Partners
  – Valuation
  – Monitoring Fees and Expenses

  Material Non-public Information
  – Supervision of the markets
  – SEC Requirements
  – Code of Ethics Rule

  Enforcement Actions relating to Exam Findings
  – What do OCIE’s observations mean?
  – Tangible Case Studies
  – Key Takeaways

  Quiz
  – 80% Pass Mark

  Conclusion
  – Key Points
  – Downloadable Certificate