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
CFTC Approves Registration Amendments
The CFTC approved some of the proposed amendments to CFTC Regulation 4.7.
- Compliance
The ESAs Solidify Their Expectations Under DORA
The ESAs’ second wave of DORA policy products underscore the urgency for firms to ensure readiness.
- Cybersecurity
FINRA’s Residential Supervisory Location Reporting Requirements
FINRA has established streamlined reporting requirements for RSLs through Form U4.
- Compliance
- FINRA
- Regulatory Deadlines
AML/CFT Program and SAR Filing Requirements for U.S. Investment Advisers
FinCEN issued a final rule imposing AML and CFT program and SAR filing requirements on RIAs and ERAs.
- AML and Financial Crime
Governance in a Cybersecurity Portfolio Oversight Program
An effective cybersecurity oversight program should be formally governed by accountable individual(s) to ensure it meets investor and firm needs.
- Cybersecurity
- Cybersecurity Resources
- Portfolio Company Risk Management
10 Things ESG Scores Can (and can’t) Do For Investors
ESG data is essential to fully understand the sustainability, ethical practices, and long-term viability of companies.
- ESG