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
U.S. Regulatory Update – February 2024
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
- Compliance
- SEC
- FINRA
The FCA Proposes a New Approach to Publicise Investigations
The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.
- FCA
- Compliance
Cyber Criminals Adapt Tactics to Attack Cloud Infrastructure
Cyber criminals likely associated with the Russian Foreign Intelligence Service are using new tactics, techniques, and procedures to gain access to cloud environments.
- Cybersecurity
FINRA’s New Remote Branch Office Inspection Pilot Program and Residential Supervisory Location Designation
FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.
- Compliance
- FINRA
California State Appeals Court Rules Immediate Enforcement of CPRA Regulations
Businesses falling under the CCPA and CPRA are now required to comply with these regulations immediately.
- Cybersecurity
The PRI Announces Their 2024 Reporting Framework
The Principles for Responsible Investment (PRI) formally released initial details about the upcoming 2024 reporting cycle for PRI signatories.
- ESG