Compliance Training in Europe
Whether someone is new to your team, or you need to ensure that you or your existing team members have sufficient knowledge and understanding to comply with current regulations, we offer a wide range of courses, designed to help you and your firm understand the regulatory framework and apply compliance.
Tailored In-House Training
Our tailored training is ideal for larger groups or if you have specific topics to be briefed on, or complex scheduling and timing for busy teams in different jurisdictions. Check out our menu of tailored training topics and options here or speak to us about how our virtual and interactive courses can be customised to meet your learning objectives and the content developed to meet your specific requirements.
Latest insights
SEC Examinations Division to Evaluate Firms’ Readiness for T+1
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
- Compliance
- SEC
2024 Investment Management Compliance Testing Survey Now Open
This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
- Compliance
Highlights From the 2024 ACA Conference
As the curtains close on the ACA Conference 2024, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
- Compliance
- RegTech
- Cybersecurity
- ESG
- Performance
- Managed Services
- SEC
Critical Vulnerability Detected in Palo Alto Networks' GlobalProtect Gateways
A popular firewall used in the financial industry is under attack due to a critital zero-day vulnerability. Firms that use Palo Alto Networks' firewall need to update their software to protect their systems.
- Cybersecurity
FCA Interim Update - Asset Management & Alternatives Supervisory Strategy
The FCA recently released a Dear CEO letter interim update to reinforce their continued focus on protecting investors and customers from poor outcomes and upholding market integrity.
- Compliance
- FCA
- ESG
Implementation Challenges of the Private Fund Adviser Rules for Large Private Equity Advisers
We drill down into the challenges specific to large private equity firms when implementing the Private Fund Adviser Rules.
- Compliance
- Private Fund
- SEC
- Performance