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

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    How many Induction Training for SEC Registered Investment Advisers courses do you require?

    How many Refresher Training for SEC Registered Investment Advisers courses do you require?

    How many Compliance Issues from SEC Examinations courses do you require?

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    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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