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
CISO Checklist for First 100 Days of Cybersecurity Program Management
This checklist provides key steps for a new Chief Information Security Officer (CISO) to take to set a cybersecurity program up for success.
- Cybersecurity
- Cybersecurity Resources
Potential for Phishing Campaigns After Multiple Bank Collapses
The recent bank failures creates a unique social engineering opportunity for bad actors as clients of these banks are eager for information and updates, and more likely to fall victim to phishing attacks and email compromise.
- Cybersecurity
Silicon Valley Bank, Signature Bank, and Silvergate Bank: Responding to Market Disruption with a Stronger Compliance Program
Six key areas your firm should focus on now: the decisions that compliance professionals make this week after recent bank collapses will have important implications for their firms, the clients that they serve, and the capital markets generally.
- Compliance
The SEC Proposes Big Changes to the Custody Rule
Responding to changes in "technology, advisory services, and custodial practices," the SEC’s proposal expands the current rule’s coverage to all client assets where the adviser has custody.
- Compliance
- SEC
ESG Issue Brief: Gender Equality
Achieving gender equality would benefit the economy, prevent violence against women and girls, and stimulate social progress. Unfortunately, inequality is a global plague.
- ESG
SEC Amends Rule 15c6-1 to Reduce Settlement Time
The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.
- Compliance
- SEC