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
Best Practices in Composite Management
Composites are the cornerstone of a firm’s claim of compliance with the GIPS standards. With the right steps, the right tools, and the right level of commitment, composite management can become part of everyday operating procedures.
- Performance
CRD Now Accepting Form CRS
The SEC released updated Form CRS FAQs on April 6,2020. Although the filing date is June 30, 2020, firms should start drafting their forms for filing as soon as possible.
- Compliance
FCA Offers Temporary Respite on Regulatory Reporting
This week, the FCA announced temporary extensions to the submission deadlines for certain regulatory reports due between now and 30 June 2020. We examine how this impacts financial services firms.
- Compliance
GIPS Committees and Working Groups
Firms of all sizes frequently ask about the relevance and importance of forming a GIPS Committee within their organization.
- Performance
Payment Protection Program and AML
As part of the CARES Act, the Small Business Administration started the Paycheck Protection Program on April 3, 2020, to provide support to small business affected by COVID-19. Learn more about considerations for firms looking to become a PPP lender.
- Compliance
Lower IT Costs and Increase Efficiency During the COVID-19 Pandemic: A Guide for Private Equity Firms
How can PE firms reduce costs, enhance efficiency, and shore up their portfolio companies during these troubled times?
- Cybersecurity
- Portfolio Company Risk Management
- BCP
- COVID-19