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

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

RQC Group
Updated Mar 02, 2021

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.

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