SCA’s training programs allow you to educate staff quickly, efficiently and cost-effectively; minimize your regulatory risk; learn practical methods to satisfy regulatory and compliance requirements; and focus your training on specific topics.
Demand for our training programs is increasing as advisers recognize the importance of training to the integrity of their overall compliance program. We provide training in person or remotely. Our training programs are customized to meet the needs of the client.
The following are examples of training topics:
- New SEC and CFTC initiatives
- Enforcement trends and cases
- Code of ethics
- Insider trading
- Understanding the Advisers Act
- Pay to play
- Trading practices
- Issues specific to private funds
- Advertising, including performance reporting
- Conflicts of interest