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
What the SEC’s Increased ESG Focus Means For You
Environmental, Social, and Governance (ESG) considerations are a growing priority for regulators. We review recent trends and areas of focus in SEC examinations.
- ESG
How Will the Economic Downturn Impact Compliance Teams?
We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.
- Compliance
- Managed Services
U.S. Regulatory Update – January 2023 Edition
We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.
- Compliance
- ESG
2023 FINRA Regulatory Filings Calendar for Broker-Dealers
Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.
- Regulatory Deadlines
- Compliance
Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs
As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.
- Compliance
- SEC
SEC Cybersecurity Rule 206(4)-9 Expected to Be Finalized in April 2023
The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.
- Cybersecurity
- Cybersecurity Resources
- SEC