interactive
US Compliance Refresher Training for SEC Registered Investment Advisers - 2023/24
RQC Group
Updated Apr 03, 2025
What you'll learn
- Identify key SEC compliance concepts
- Apply appropriate actions for compliance issues
- Understand insider dealing framework
- Comply with SEC reporting requirements
Course Description
This course provides 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.
This module is suitable for anyone that is working for an SEC-regulated Investment Firm.
