SEC Compliance online training courses

   Course takes 60 minutes to complete

  From only $61 (£49 inc. VAT)

  Claim 10% discount today!

     Fully automated interactive online solution


    Course outline:

  • Introduction
  • Compliance Framework
  • Providing Advisory & Investment Services to your Clients
  • Marketing & Advertising
  • Disclosures to Clients & Investors
  • Reporting to the SEC
  • Financial Crime
  • SEC Supervision
  • Quiz (80% Pass Mark required)
  • Conclusion

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

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



    All courses are accessible on our bespoke web or app platforms immediately upon purchase.



    All courses are delivered through fully-automated, interactive online visual solutions.



    Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.



    A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.



    All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.



    Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.


    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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