Refresher Training for SEC Registered Investment Advisers

The price for this course: $68.00 / £54.00 inc. VAT

Course duration 60 mins

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.

Course outline
  • 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

The price for this course:

$68.00 / £54.00 inc. VAT

Other e-learning courses
you may be interested in
Complete this form and we'll contact you shortly with a quote:
How many Induction Training for SEC Registered Investment Advisers courses do you require?

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