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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