SEC Compliance

Compliance Firm Launches E-Learning Courses for SEC Compliance

Sponsored content

Compliance firm RQC Group has launched e-learning training courses to help users learn about SEC compliance, or the rules and regulations that the Securities and Exchange Commission makes and enforces.

These courses have been designed specifically to make learning about SEC compliance as straightforward and easy to understand as possible, with each course providing content that meets the training needs of individuals efficiently.

These online training courses are a breath of fresh air to the SEC compliance learning experience. Previously, individuals have had to take physical courses, or speak to professional consultancy practices in order to gain the knowledge and understanding necessary for SEC compliance.

RQC Group’s new online training helps to provide this important regulatory information in a way that’s easy to understand, and in a socially distanced way – especially useful in light of the current coronavirus pandemic.

The three SEC Compliance courses offered by the RQC Group include:

  • Induction Training for SEC Registered Investment Advisers
  • Refresher Training for SEC Registered Investment Advisers
  • Compliance Issues from SEC Examinations

All three of the courses are 60-minutes long and are designed to provide users with a sound knowledge of vital SEC compliance concepts.

What is SEC?

SEC, The U.S. Securities and Exchange Commission, is an independent regulatory agency of the U.S. federal government. The agency was created in 1934 by Congress, being the first of its kind as a federal regulator to the securities markets.

The SEC aims to protect investors from immoral market practices, including those that are fraudulent and manipulative. It also monitors corporate takeover actions within the U.S. and approves bookrunners registration statements.

The SEC’s mission is “to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.”

An understanding of SEC, and further SEC compliance, is essential if you work in the U.S. in financial services, including offering advice for investments and hedge funds.


Sign Up: Receive the StartupNation newsletter!

RQC Group’s online courses

RQC Group’s SEC Compliance online courses are incredibly useful for individuals looking to gain a deeper understanding of the area’s essential concepts. However, they are not the only e-learning courses the compliance firm offers. RQC also offers specialist, interactive training courses relating to FCA, SEC and CFTC/NFA compliance.

Below is a list of the online courses the firm offers:

U.K. Courses

  • SMCR
  • Compliance
  • Financial crime
  • Cybersecurity (coming soon)

U.S. Courses

  • SEC compliance
  • NFA compliance (coming soon)
  • Cybersecurity (coming soon)

The consultancy firm has extensive expertise covering both the U.K. and the U.S. markets, with all online training courses written by senior compliance consultants.

Sponsored content

Total
13
Shares
Previous Article
failure

How Failure Sets You Up for Success in Business, According to 6 Top Entrepreneurs

Next Article
SEO

5 Actionable Ways to Grow Your Side Hustle Using SEO

Related Posts
virtual assistant
Read More

How Virtual Assistants Can Benefit Startup Leaders

According to venture capitalist Bill Trenchard of First Round Capital, the average startup founder "works about 300 days a year, 14 hours a day." He should know. Trenchard cofounded and led three companies and, as a VC, advises hundreds of startups. "Looking at the schedule of a typical CEO, a full 70 percent of that...
succession planning
Read More

Your Business Legacy: Why Succession Planning Is a Crucial Step in Estate Planning

Running your own business is a mammoth task and a considerable investment. Statistics have consistently shown that small business owners have to work longer and harder than the average employee. So, after dedicating so much time and energy to building up a company, it’s crucial to protect it should the worst happen. Almost all of...
supply chain
Read More

How to Keep Vendors and Clients Happy During Supply Chain Hiccups

Supply chain breakdowns are happening due to global disruptions, rising costs and increased consumer expectations. Businesses can't always stop supply chain hiccups, but they can learn from them and limit their impact on vendors and clients. How a business responds to a supply chain issue can have far-flung effects. A company that is proactive and...
Read More

How to Support Employee Mental Health and Avoid Startup Burnout

When it comes to finding the right job — and staying there — candidates are looking for a lot, especially in a virtual setting. Gone are the days where foosball tables and free snacks constituted benefits. Of course, we still love them, but there has to be more that matters. People are primarily looking to...