FCA Regulatory Training
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 compliance training, 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
Mirabella’s Response to the FCA’s review of principal firms in the investment sector
The FCA recently published the conclusions of its review of principal firms in the investment management sector. We examine the relevance of the findings and outline how the FCA rated Mirabella in the review.
- Compliance
Regulatory Cyber Alert: SEC Conducting Cyber Compliance Examination Sweep of Registered Investment Advisers (RIAs)
The U.S. Securities and Exchange Commission (SEC) has commenced a series of cybersecurity examinations on registered investment advisers (RIAs) which targets Form ADV data related to cloud service providers.
- Cybersecurity
FINRA Provides Guidance Regarding Suspicious Activity Monitoring and Reporting Obligations
FINRA recently issued Regulation Notice 19-18 (the “Notice”), which provided guidance to member firms regarding their monitoring obligations with respect to suspicious activity pursuant to the Bank Secrecy Act (“BSA”) and anti-money laundering (“AML”) requirements.
- Compliance
How to Remove the Pain from Vendor Due Diligence
Third-party risk management can be painful, time-consuming, and expensive. Get the pain-free solution to effective vendor due diligence in our latest blog post.
- Cybersecurity
Q&A: The New Prudential Regime - What Does This Mean for You?
The Investment Firm Regulation (IFR), a new prudential framework developed by the European Commission (EC), will soon apply to all MiFID investment firms. The vast majority of investment firms will need to adapt to a new set of capital, liquidity, and reporting requirements. Whether or not you believe these rules are simpler and more proportionate to investment firms, you need to be prepared.
- Compliance
- FCA
Cyber Alert: New Intel Chip Security Vulnerability
On May 14, Intel announced a series of security vulnerabilities in its central processing unit (CPU) chips. The vulnerabilities are collectively labeled Microarchitectural Data Sampling (MDS).
- Cybersecurity