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
2025 FINRA Annual Regulatory Oversight Report
This report offers member firms insights into findings and observations from FINRA’s member supervision, market regulation, and enforcement programs.
- Compliance
- FINRA
The SEC’s Valentine’s Day Gift to Asset Managers: An Extension of the Short Sale Reporting Deadline
The SEC gave asset managers a sweet surprise in the form of extra time to comply with SEC Rule 13f-2 and Form SHO filings.
- SEC
- Compliance
- Regulatory Deadlines
Case Study: Comprehensive GIPS Management and Oversight
By outsourcing the management of its GIPS standards framework, the firm achieved efficiency and scalability, allowing internal teams to focus on core investment responsibilities while mitigating the risk of falling out of compliance with the GIPS standards.
- Performance
- GIPS Standards
Fraudsters Actively Impersonating Financial Services Executives: Firms Should be on High Alert for Similar Attacks
Firm employees and executives are being actively impersonated in WhatsApp messaging scams causing significant financial harm to investors.
- Cybersecurity
Urgent Patching Required to Address 7-Zip Mark-of-the-Web Bypass Vulnerability
Attackers are exploiting a 7-Zip flaw to spread SmokeLoader malware, bypassing Windows security warnings via phishing. Users must manually update to version 24.09+ to stay protected.
- Cybersecurity
Case Study: Streamlining Investment Performance Calculations and Vendor Due Diligence
Our investment performance team helped a fund of fund manager meet the SEC’s Marketing Rule requirements and provide outsourced performance calculations to help them expand into the SMA business.
- Performance
- SEC Marketing Rule