SEC Training
Navigate SEC regulatory requirements with practical training that supports awareness and compliance.
Keeping up with ever-changing SEC rules has never been more complex or urgent. The SEC is making adjustments and has new leadership under Commissioner Mark Atkins, who says existing regulations are “unclear, overly politicized, complicated, and burdensome,” advocating for “common sense” rather than aggressive enforcement.
While the previous Commissioner Gary Gensler’s policy was characterised as being uncompromising on both enforcement and rulemaking, Atkins has directed the Commission to pursue a more targeted “fewer, bigger cases” strategy. The “fewer and bigger” enforcement trend, with claims of increased individual executive liability, demands robust corporate programs and rigorous top-down oversight.As regulatory pressure intensifies and transparency demands grow, our experts provide you with the essential training you need to navigate this complex landscape.
DECODING SEC COMPLIANCE.
Our courses are designed to elevate your understanding of the key steps your business needs to take to maintain SEC compliance. This includes staying current with regulatory changes, strengthening internal controls, building compliance culture, having effective internal controls and addressing emerging areas of increased executive liability. Our courses are crafted by seasoned experts with years of experience navigating SEC regulations and cover practical strategies for managing risks, ensuring accurate reporting, and fostering a culture of compliance throughout your organisation.
Course Overview
Master the rules
Our training is structured into focused modules covering key areas of SEC compliance. Each can be delivered in-person or through the Cosegic online portal, with both options expertly designed to offer an engaging and interactive learning experience.
Course Structure
SEC Regulatory Requirements (RIAs)
Duration: 30 mins
- Understand RIA status and the requirements of registering as an RIA
- Understand key regulatory obligations for RIAs
SEC Regulatory Requirements (ERAs)
Duration: 30 mins
- Understand ERA status and the requirements of being an ERA
- Understand key regulatory obligations for ERAs
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Rule the...
REFORMS
Armed with a clear grasp of the rules, you can avoid penalties, legal issues, and reputational damage by ensuring your company’s filings and disclosures meet SEC standards.
RISK
By empowering your team to identify SEC compliance risks—whether in financial reporting, insider trading, cybersecurity, or ESG—they can tackle issues before they escalate.
ROLE
When employees at every level understand their role in upholding SEC compliance commitments, it minimises bad practices and reduces the potential for major violations.
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FREQUENTLY ASKED QUESTIONS
Find answers to the questions we’re asked most often, from our compliance and training services to how we can support your business.
Who is SEC Training designed for?
SEC Training is suitable for firms and individuals who need an understanding of SEC regulatory requirements, particularly organisations operating in or with the US financial markets.
What does the training cover?
The course provides an overview of key SEC regulations, compliance responsibilities and regulatory expectations relevant to your business activities.
Can the training be tailored?
Yes. We can customise the content to reflect your firm's operations, regulatory obligations and the experience of attendees.
Is the training suitable for UK firms?
Yes. It can be valuable for UK-based organisations with US operations, clients or regulatory obligations involving the SEC.
How is SEC Training delivered?
Training can be delivered online or in person for individuals, teams or larger organisations.