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
Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021
With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.
- RegTech
- eComms Surveillance
- Trade Surveillance
The Changing Compliance Landscape for Venture Capital & Other Private Markets Fund Managers
Although many venture capital firms in the U.S. today are exempt reporting advisers (ERAs), scrutiny of these firms has increased.
- Compliance
2021: The Year in Review
As you look ahead to 2022, here are a few of 2021’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.
- Compliance
The UK National Security and Investment Act 2021 – sneaking into force early 2022
The UK National Security and Investment Act of 2021 (NSI) comes into force on 4 January 2022. It allows the UK Government to scrutinise and block any acquisition they feel may harm national security. Learn how this impacts your firms future acquisition plans:
- Compliance
Log4Shell Vulnerability: What We Know and Action Steps to Take
Following our Cyber Alert last week, “Java Log4Shell Zero-Day Vulnerability Discovered; Immediate Patching Advised for Millions of Users", on December 10th a critical vulnerability was publicly disclosed in the Apache Log4j Java-based logging package, which is commonly used by organizations across the world.
- Cybersecurity
- Cybersecurity Resources
Flaws Discovered in Original Update to Fix Log4j Vulnerability; Users Must Update to Newest Version of Apache Log4j 2.16.0
On December 10th a critical vulnerability was publicly disclosed in the Apache Log4j Java-based logging package, which is commonly used by organizations across the world. When first disclosed late last week, Apache had already released an updated version of Log4j version 2.15.0 to remedy the security flaw.
- Cybersecurity
- Cybersecurity Resources