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
Tips for Designing Policies and Procedures to Mitigate Compliance Risks
The first step to design or review a compliance program is performing a risk assessment and gap analysis.
- Compliance
- SEC
- FCA
Key Trends and Takeaways From the FCA’s 2024 STOR Report
The FCA released its annual report detailing the number of suspicious transaction and order reports.
- Compliance
- FCA
Your Guide to a Compliance Testing Action Plan
Maintaining a strong compliance program requires regular testing. Download our plan to ensure robust testing.
- Compliance
- Cybersecurity
- Performance
- Portfolio Company Risk Management
- Privacy
- Trade Surveillance
Understanding Suspicious Activity Reports (SARs): A Guide for RIAs
SARs are key to AML and CFT compliance, helping RIAs meet FinCEN regulations and mitigate financial risks.
- AML and Financial Crime
The Impact of Bermuda's PIPA on the Global Privacy Landscape
PIPA is likely to have a significant impact on firms that operate or are headquartered in Bermuda and firms that are tangentially associated with the country.
- Privacy
Q2 2025 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filing requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2025.
- Compliance
- SEC
- FCA
- FINRA
- Regulatory Deadlines