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
Enhanced Disclosures Proposed for Order Execution Information
The SEC's proposed updates would expand the scope of entities subject to Rule 605, modify the reporting information it requires, and change how its orders are categorized.
- Compliance
- SEC
Tips for Updating Your Compliance Program: Identity Theft Red Flag Rule
Regulation S-ID, the “Identity Theft Red Flag Rule,” requires financial institutions to implement and administer a written program designed to detect, prevent, and mitigate identity theft for customers with “covered accounts.”
- Compliance
U.S. Regulatory Update – March 2023 Edition
This month's update has tips for creating a strong ADV annual amendment, adhering to the SEC's 2023 exam priorities, and more. We share our unique insights and guidance, and include a list of important dates for the month of March.
- Compliance
- SEC
Feeling Your Pain: Advice & Help for Updating Form ADV
With the deadline for many investment advisers to file their annual Form ADV coming March 31st, we tackle some of the most challenging questions and share guidance for easing the process.
- SEC
- Compliance
Three Key Updates on SEC Cybersecurity Regulations
The SEC issued three important updates regarding cybersecurity rule proposals. These updates represent a shift that normalizes standards and increases governance expectations.
- Cybersecurity
Tip for Updating Your Compliance Program: Marketing Rule Compliance
The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.
- Compliance