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
Guidance on Business Continuity and Disaster Recovery Planning for Coronavirus Disease 2019 (COVID-19)
With the threat of the coronavirus disease 2019 (COVID-19), firms should revisit their business continuity and disaster recovery planning in response to a pandemic.
- Compliance
Getting Brexit ready – About the Temporary Permissions Regime, and how to apply
Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.
- Compliance
Practical Guidance: The 2020 GIPS Standards for Asset Owners
As a result of increased transparency and due diligence on the part of asset owners, there is growing interest in attaining GIPS compliance among the asset owner community.
- Performance
White Paper: Top 10 Risk and Compliance Challenges for 2020 and Beyond
ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.
- Compliance
OCIOs look to the GIPS standards to provide greater performance transparency
The Outsourced Chief Investment Officer (“OCIO”) model became widely adopted about a decade ago and since then the industry has grown rapidly, with well over 100 firms providing some level of these services.
- Performance
GIPS Compliance Notification Form Now Available
Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.
- Performance