SEC Compliance

Compliance Firm Launches E-Learning Courses for SEC Compliance

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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.


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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.

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