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
The SEC Expands the Definition of Dealer
The SEC Adopted two new rules that may require some hedge funds and proprietary trading firms to register as broker-dealers and become FINRA members.
- Compliance
Sharpen Your Pencils: Form ADV Updates are Due March 30
Advisers with a December 31 fiscal year end must file the annual amendment to Form ADV by March 30. Here are a few things to keep in mind when preparing the update.
- Compliance
- SEC
The SEC's Climate Disclosure Rule: A Reminder That Climate-Related Risks May Be Material
The SEC finalized the much-debated climate disclosure rule citing the importance of providing investors with standardized and centrally located climate-related disclosures.
- ESG
- SEC
White Paper: Regulatory History Frames Current Issues for the ETF Industry
We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.
- Distribution
Strategies to Transform Your Compliance Program with Technology - #4: Planning
Plan your technology implementation thoughtfully, step by step.
- RegTech
- ComplianceAlpha
Benchmarking Insights: Tracking the Impact of the Private Fund Adviser Rules
We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine what they mean for firms.
- Private Fund
- SEC
- Compliance
- Performance