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
2020 Vision: 10 Concerns for European firms over the coming months
At our recent UK conference, 'Regulatory Horizon 2020 | The Challenges Ahead', we captured 10 concerns for European firms (aside from Covid-19). This checklist remains relevant for firms prepared to look through the crisis to the eventual recovery ahead.
- Compliance
FINRA's Pandemic-Related Business Continuity Planning, Guidance, and Regulatory Relief
FINRA recently issued a regulatory notice reminding firms that they should review their pandemic-related business continuity planning. This review should include assessing whether their business continuity plans (“BCPs”) are flexible enough to address the impact of potential pandemic-related situations to their businesses.
- Compliance
New "Coronavirus" Malware Targets Windows Users
Researchers have discovered multiple computer viruses and destructive software (malware) that use coronavirus and COVID-19 themes. These malware programs can be significantly damaging to systems and the data they maintain.
- Cybersecurity
Security Risks with Zoom and Other Teleconferencing Tools
Security issues with video and audio conferencing tools, particularly Zoom, have increased during the pandemic. Learn what steps firms and individuals should take to protect themselves from this risk.
- Cybersecurity
Tips to Enhance Electronic Communication Surveillance
With reduced face-to-face interactions, employees are increasingly turning to electronic devices and platforms to communicate with their co-workers and clients. Increased electronic communication traffic can result in additional risks. Regulators, although providing relief in certain areas, still expect the compliance role to function effectively to mitigate these risks.
- Compliance
SFC issues guidance to fund industry participants related to the COVID-19 outbreak
Responding to volatility in local and international markets following the COVID-19 outbreak, the Hong Kong Securities & Futures Commission (SFC) has issued four reminders to fund industry participants and intermediaries of their obligations. We examine what this means for firms.
- Compliance