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
Case Study: Outsourcing to Streamline IRR Calculations for Fundraising Success
Our investment performance team collaborated with a global private equity and credit manager to calculate IRRs and associated multiples required for meeting bank platform standards during fundraising.
- Performance
Regulatory Considerations for Continuation Funds
Asset managers are turning to GP-led secondary transactions, or continuation funds, to navigate high interest rates and limited liquidity. This growing practice helps manage illiquid assets but has raised SEC concerns over conflicts of interest and investor risks.
- Compliance
- SEC
From Policy to Practice: Building an Effective Firm-Wide Regulatory Surveillance Program
We’ve developed a comprehensive checklist to help you assess the effectiveness of your compliance oversight, monitoring, and surveillance programs.
- RegTech
- eComms Surveillance
- Trade Surveillance
SEC AML Enforcement: Do What You Say
The SEC recently brought an enforcement action against a former registered investment adviser for making AML misrepresentations to investors.
- AML and Financial Crime
- SEC
Global Lessons and Strategies for ESG Compliance
Global ESG regulations offer key lessons to help firms align practices, mitigate risks, and enhance strategy credibility.
- ESG
Q1 2025 ESG Compliance Horizon Newsletter
Each quarter, we'll provide you with timely updates, insights, and best practices to help you stay ahead of regulatory changes and ensure compliance.
- ESG
- FCA