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
Four Reasons to Attend Regulatory Horizon 2022 | Prepare for the Challenges of Tomorrow
On 8-10 March, we bring together a wealth of financial services industry experts at our virtual conference. Over 3 days and 10 sessions, they’ll examine a wide variety of governance risk and compliance hot topics and challenges. Learn more about why you should add this event to your calendar.
- Compliance
- ComplianceAlpha
- ESG
- Cybersecurity
- Cybersecurity Resources
- Managed Services
- FCA
- SEC
- SEC Marketing Rule
- Regulatory Deadlines
SEC Proposes Sweeping Changes Affecting Private Fund Managers
On February 9, 2022, the SEC proposed five new rules as well as amendments to Rules 204-2 and 206(4)-7 under the Investment Advisers Act of 1940, as amended. According to the SEC, these proposals are designed to address "concerns that arise out of the opacity that is prevalent in the private fund structure."
- Compliance
- Private Fund
Whaling Attacks: How to Respond When a C-Suite Executive is a Victim
Whaling will soon become one of the most prominent forms of cyberattacks, especially with firms that operate in remote and hybrid work environments. In this article, we describe: whaling attacks, their impact, how to prepare C-Suite executives to not fall victim to whaling attacks, and what to do if an executive is a victim.
- Cybersecurity
- Cybersecurity Resources
Significant Proposals for Cybersecurity Risk Rules in the Financial Industry
The SEC recently voted to propose new rules to address cybersecurity risk management for registered investment advisers and investment companies. These proposed rules address multiple concerns related to cybersecurity risks to investment advisors, clients of investment advisors, private funds, and investors of private funds.
- Cybersecurity
Lifting the Lid on the Systematic Trading: The Most Common Compliance Pitfalls
Navigating the matrix-like world of algorithmic trading is a complex task for compliance officers at SEC and FCA registered firms. Poor management results in adverse impacts for investors, losses or reputational damage. We reveal common compliance errors and provide guidance on how to rectify them.
- Compliance
Private Markets Quarterly Update 2021 Q4
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
- Compliance