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
Firm Notification Requirement – 2018 Form Now Available
Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each firm must submit the GIPS Compliance Form annually by June 30.
- Performance
So You Survived Year-End Compliance Testing — But are You Ready for What’s Next?
Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.
- Compliance
SEC Requesting that Firms Submit Data via Formatted Template as Part of Investment Adviser Exams — What Your Firm Needs to Know
Since the U.S.
- RegTech
Due Diligence of Research Firms and Data Providers - What Investment Advisers Need to Know
Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the
- Compliance
Takeaways from the SEC’s 2019 Fiscal Year Budget Request
On February 12, 2018, the U.S.
- Compliance
Non-EU Firms and GDPR: Time to Face Up to Compliance
The deadline for meeting the General Data Protection Regulation (GDPR) is on
- Cybersecurity