This Introduction/Refresher Compliance Training is designed to remind persons who have joined a SFC licensed firm of their obligations and the obligations of the firm with respect to remaining compliant with the requirements that apply to them.

The courses have been designed by our consultancy team to deliver the appropriate level of detail to remind licensed persons and substantial shareholders of the expectations that is placed upon them because of their roles. There is a broad coverage, but we include hints and tips about how to avoid unnecessary operational drag involved in remediating items that arise where persons are not reminded of their individual obligations.

A summary video may be found here. AML (0.34), Market Misconduct (1.24) and SFC Refresher (3.17).

This program is eligible for 1.0 SFC CPT hours.  Please confirm with your Compliance/HR Team if this course is accepted as eligible for company CPT.

Corporate Discount / Bulk Purchase Rates are available.  Please contact Cognitive GRC.