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
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
Abide Closure – What Happens Next?
With CME winding down Abide, its European regulatory reporting platform, many firms now face a complex, time-critical move to an alternative transaction reporting provider. We explore what this means for affected firms and what's needed to ensure ongoing compliance.
- Trade & Transaction
OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics
OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.
- Compliance
COVID-19 and Working Remotely: Reminding Staff of Their Compliance Obligations
To help mitigate the risk of ‘compliance distancing’, it's key that Compliance Officers make staff aware of their role in protecting the business. We outline regulatory requirements that help bolster a firm’s safeguards relating to investor protection, market conduct and in meeting its legal and regulatory obligations.
- Compliance
- COVID-19
LIBOR No More: How Alternatives Managers Should Implement the Transition
The transition from the London Interbank Offered Rate (LIBOR) is due to be complete by the end of 2021. With 2020 considered a critical year for the global industry to make that transition, we examine what firms should do now to prepare for the termination of LIBOR.
- Compliance
Widespread Telecom Outages Reported: Contingency Preparedness Recommended
On June 15, 2020 widespread voice and data outages were reported across the U.S with disruptions in service among major cell service carriers, internet service providers, social media platforms, gaming sites, streaming services, banking services, delivery services, and teleconferencing platforms.
- Cybersecurity