SEC Training.
Keeping up with ever-changing SEC rules—especially in high-stakes areas like ESG disclosures, cybersecurity, and executive pay—has never been more complex or urgent. As regulatory pressure intensifies and transparency demands grow, our experts provide you with the essential tools and strategies you need to navigate this complex landscape.
With the constant shifts in the SEC’s rule-making agenda, appointing our experts to keep you informed ensures you avoid costly compliance mistakes.
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, and addressing emerging areas like cybersecurity and ESG disclosures. 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.
