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?

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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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