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
AML Obligations May Be Coming for Investment Advisers
FinCEN recently proposed AML and CFT programs for investment advisers that would somewhat harmonize the requirements for banks and broker-dealers with those for investment advisers.
- AML and Financial Crime
Form PF 2.0: Significant Amendments Implemented by the SEC and CFTC
The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.
- Compliance
- SEC
SMS Message Rates May Apply: SEC Fines 16 Firms $81 Million for Recordkeeping Failures
The SEC announced that it settled charges with 16 investment advisers and broker-dealers alleging that the firms failed to maintain required electronic records. Learn more and get our tips for how to proactively strengthen your compliance program in our recent alert.
- SEC
- eComms Surveillance
- Compliance
Performance Precision: SEC's New FAQ Sharpens Focus on Gross and Net IRR Obligations
On February 6, 2024, the Securities and Exchange Commission’s (SEC) Division of Investment Management released a new Frequently Asked Question (FAQ) clarifying requirements around gross and net performance obligations for Internal Rates of Returns (IRR) often seen in the private markets space. Read our alert to understand the key details.
- SEC Marketing Rule
- Performance
- Compliance
- Private Fund
Strategies to Transform Your Compliance Program with Technology - #3: Data
RegTech is about more than just fancy software – it’s also about data structure and integrity.
- RegTech
- ComplianceAlpha
Adviser-led Secondaries, Annual Fund Audits, and Annual Compliance Review Documentation Breakdown
The Adviser-led Secondaries Rule requires advisers to obtain an independent fair or valuation opinion while the Annual Fund Audits Rule requires advisers to obtain audits of their private funds annually and upon liquidation.
- Compliance