US Compliance Induction Training for SEC Registered Investment Advisers - 2020/21
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US Compliance Induction Training for SEC Registered Investment Advisers - 2020/21

RQC Group
Updated Mar 02, 2021

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.

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