Overview on the US SEC Examination Regime

This online training provides an overview of the US Securities and Exchange Commission ("SEC")'s National Exam Program, which is conducted by the Division of Exams of the US SEC. This will be helpful to the Hong Kong SFC licensed corporation which is going to or has registered or reported as an Exempt Reporting Adviser ("ERA") and Registered Investment Adviser ("RIA").  

This presentation will cover the following areas: 

1.    Introduction to the US SEC examination 

2.    Types of US SEC examinations 

3.    Process of the US SEC examination 

4.    Preparation Tips 

5.    Common deficiencies identified during the examination process 

6.    Common documents requested for by the US SEC examiners

To complete the training, you are required to answer 10 questions in the Assessment Test at the end of the training and have 6 questions answered correctly.  Prior to taking the Assessment Test, you must watch the entire training video. Failure to do so may lead to cancellation of your Certificate of Completion.

**Please note that you are required to create an account with Thinkific, our Learning Management platform. Your Certificate of Completion will be issued using the name used to create the account. Therefore, please ensure that your official name is used when creating the account on Thinkific.**

For any queries, please email us at [email protected]. Thank you.