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
FINRA 2020 Risk Monitoring and Examination Priorities
On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. While noting that the letter’s format had been changed to concentrate more on new risk areas, FINRA stated that it would continue to examine the areas of concern on which it repeatedly focused in previous years.
- Compliance
7 Tips to Avoid Identity Theft During the 2020 Tax Season
Tax filing may be delayed until July 15, but it's best to file as soon as possible and be extra vigilant about tax scams. Here are our tips for staying diligent and resources to share with your employees and friends.
- Cybersecurity
Regulatory Update for CPOs and CTAs
2019 brought significant regulatory developments for registered Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”). Review these notices from 2019 as you plan your 2020 compliance program.
- Compliance
Data Privacy Day 2020
Data Privacy Day is a great opportunity to evaluate your level of data privacy compliance for your firm, especially for CCPA. Join our webcast with Compliance Week to learn what you need to know about this new privacy regulation.
- Cybersecurity
FCA Announces New Supervision Strategy for Investment Managers
Last week, the FCA sent a Dear CEO letter outlining its refocused supervisory strategy for their firms. Find out what this means for asset management and alternative fund firms.
- Compliance
SEC’s OCIE Releases Cybersecurity and Resiliency Observations from Examinations
SEC's OCIE released Cybersecurity and Resiliency Observations from its examinations of SEC-registered firms. Here's what you need to know.
- Cybersecurity