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
Reporting of Securities Lending Transactions
The SEC recently approved a rule requiring securities lending transactions to be reported to FINRA within 15 minutes of completion.
- Compliance
Demystifying the Private Fund Adviser Rules
The Private Fund Adviser Rules significantly impact how firms deal with investors, including requiring increased disclosure of fees and expenses, investments, and performance.
- Private Fund
- Compliance
- Performance
U.S. Regulatory Update – Winter 2023
This update covers the SEC's 2023 enforcement results, implications of the Corporate Transparency Act, the DOL's new fiduciary rule proposal, the CFTC's new blueprint for enforcement, and more.
- Compliance
- Cybersecurity
AI in UK Financial Services: Unbelievable Potential is Not Without Compliance Risk
The latest joint discussion paper FS2/23 issued by the BoE, FCA, and PRA outlined that the existing UK regulatory frameworks encompass ways in which AI is being used.
- Compliance
- Cybersecurity
SEC Conducts Sweep of AI Use by Investment Advisers
As part of the SEC’s recent focus on AI, the Division of Examinations has initiated a sweep of investment advisers on how AI-based tools are being used by the firms.
- Compliance
- Cybersecurity
The Case for Outsourcing Investment Performance Services
By streamlining processes and leveraging the third-parties, firms can improve the efficiency and accuracy of their performance measurement and reporting processes, potentially leading to further cost savings.
- Performance