Course takes 60 minutes to complete
From only $61 (£49 inc. VAT)
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Fully automated interactive online solution
Course outline:
- Introduction
- Compliance Framework
- Providing Advisory & Investment Services to your Clients
- Marketing & Advertising
- Disclosures to Clients & Investors
- Reporting to the SEC
- Financial Crime
- SEC Supervision
- Quiz (80% Pass Mark required)
- Conclusion
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