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
Summary of FINRA Regulatory Actions in Q1 2020
The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000 in the first quarter of 2
- Compliance
COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?
Download our surveillance gap assessment checklist to see how your program measures up.
- RegTech
- COVID-19
- Trade Surveillance
- Personal Account Dealing
Extension of SM&CR Implementation Period for Solo-Regulated Firms
The FCA and Treasury have agreed to extend the deadline for FCA solo-regulated firms’ assessment of their Certified Staff as fit and proper by just over 100 days, to 31 March 2021. We examine what firms need to do to make sure they are compliant by the new deadline.
- Compliance
Sunak Calls the Shots: The FCA's New Boss and the UK's Agenda for Financial Services Regulation
Whilst lockdown restrictions start to ease and the green shoots of a post-pandemic world tentatively emerge, two notable developments have come out of the UK government this week. What do these indicate about the UK's financial services post-Brexit?
- Compliance
Updates to the CCPA: Deadline is July 1
As we approach the California Consumer Privacy Act (CCPA) enforcement deadline you may be wondering what happens next. We have updated our CCPA FAQs with the most up-to-date information.
- Cybersecurity
- Privacy
Compliance Deadline Approaching for Regulation Best Interest and Form CRS
The June 30th deadline to comply with Regulation Best Interest (Reg BI) and Form CRS is almost here. We’ve summarized the requirements of both to help broker-dealers and investment advisers confirm they are ready to comply.
- Compliance