SEC Training.
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
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.
- Understand RIA status and the requirements of registering as an RIA
- Understand key regulatory obligations for RIAs
- Understand ERA status and the requirements of being an ERA
- Understand key regulatory obligations for ERAs
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.
