US Compliance Induction Training for SEC Registered Investment Advisers - 2023/24
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US Compliance Induction Training for SEC Registered Investment Advisers - 2023/24

RQC Group
Updated Jul 21, 2024

What you'll learn

  • Understand why firms are registered with the SEC,
  • Appreciate the importance of the firm’s Form ADV as a key public disclosure document
  • Refresh your knowledge on the adviser’s fiduciary responsibility to clients
  • Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
  • Understand advertising rules and restrictions
  • Understand required disclosures to clients and investors
  • Understand reporting requirement to the SEC, including all relevant forms
  • Understand insider dealing and financial crime framework
  • Have a sound understanding of the SEC supervises firms
Course Description

This course is designed to provide a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

Throughout the course, the individual is required to check their understanding on the material presented.

This module is suitable for anyone that starts working for an SEC-regulated Investment Firm.