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
Vulnerability Exploited in Aviatrix Controller
A critical vulnerability has been discovered in Aviatrix Controller, a popular cloud networking platform often used in Amazon Web Services.
- Cybersecurity
Best Practices to Prepare for the SEC’s Continued Scrutiny of Business Communications
Firms must demonstrate to the regulator that they have a reasonably-designed, proactive program in place.
- eComms Surveillance
- RegTech
- SEC
Programmatic Portfolio Oversight: From Patchwork Fixes to Strategic Foundations
Traditional portfolio oversight methods no longer suffice. Adopting a programmatic approach to monitor cybersecurity and ESG is essential to meet current challenges effectively and sustainably.
- Cybersecurity
- ESG
Build and Maintain Operational Resilience with a Comprehensive Checklist
Operational resilience is crucial for financial services firms facing rising regulatory demands, cyber threats, and stakeholder expectations. Our checklist helps you strengthen key areas.
- Compliance
Monitoring Employees’ Personal Trading - When Brokerage Statements Matter
The best way to track employees’ personal trading is by using RegTech that automatically monitors for parameters set up by the compliance team. However, this technology is not always available.
- RegTech
- ComplianceAlpha
- Compliance
Your Roadmap to Prepare for FinCEN’s AML Rule
With FinCEN’s AML Rule taking effect in 2026, U.S. investment advisers, including RIAs and ERAs, will face expanded compliance requirements under the Bank Secrecy Act.
- AML and Financial Crime