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
Regulatory Enforcement of Off-Channel Communications
The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.
- SEC
- Compliance
- RegTech
FCA Publishes Market Watch 74
The UK FCA's Market Watch 74 focuses on transaction reporting issues, highlighting improvements but persistent data quality problems. It covers MDP usage, E&O submissions, validation rules, decision maker identification, and more.
- FCA
- Compliance
General Solicitation Under Regulation D – Recent Trends and Enforcement Activity
There has been a rise in 506(c) general solicitation offerings due to factors such as shifts in SEC's attitude and increased enforcement of 506(b) rules.
- SEC
- Compliance
Zoom’s New Terms of Service Create Data Privacy Concerns
Zoom's updated Terms of Service introduce changes allowing broader use of customer data for its AI programs, raising privacy concerns due to vague language and limited opt-out options.
- Privacy
- Cybersecurity
Solving Investment Industry Challenges: The Strategic Role of Managed Performance Services
As the cost of in-house talent increases, firms must adopt efficient investment performance measurement and reporting processes, such as leveraging outsourced performance services.
- Performance
- Managed Services
The Increasing Importance of Robust Insider Trading Controls at Private Markets Fund Managers
Private markets fund managers have underestimated insider trading risks due to their limited involvement in public markets, but increasing interactions with public companies and expert networks have heightened exposure to material nonpublic information (MNPI).
- Compliance