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
FCA Publishes Consultation Paper 21/7 – A New UK Prudential Regime for MiFID investment firms
Following the publication of the FCA's latest Investment Firm Prudential Regime (IFPR) proposals, we examine the impact on MiFID investment firms, including key highlights, considerations, requirements and deadlines.
- Compliance
- Managed Services
Form PF Reminders for Advisors to Private Funds and Hedge Funds
We discuss why Form PF is so important, and share guidelines for meeting the SEC's filing requirements.
- SEC
- Compliance
2021 Investment Management Compliance Testing Survey
ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to participate in the 2021 Investment Management Compliance Testing Survey. This survey, now in its 16th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
- Compliance
U.S. Department of Labor Offers Cybersecurity Guidance for Retirement Plan Administration
On April 14, the U.S.DOL issued a news release with guidance on cybersecurity for retirement plan administration aimed at plan sponsors, fiduciaries, record-keepers and participants of plans regulated by ERISA, the federal law that sets the minimum standards for retirement and health plans in private industry. Get the details on this guidance as well as our recommendations.
- Cybersecurity
GIPS Compliance & Verification Requirements FAQ
There are a number of important considerations that must be made before a firm can attain compliance with the GIPS standards. In the following, we describe a few of the most common questions that firms often ask as they consider taking on this initiative.
- Performance
Microsoft® Patches Critical Vulnerabilities; Zoom Vulnerability Discovered
Learn about the new software patches Microsoft released on April 14, 2021 to address 19 critical vulnerabilities as well as a new Zoom vulnerability discovered at the Pwn2Own white hat hacker event.
- Cybersecurity