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
Tip for Updating Your Compliance Program: MNPI Compliance Issues
In the third article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for MNPI and Code of Ethics compliance.
- Compliance
- SEC
LastPass Provides Action Items in Response to Breach
The update serves to assure customers and business administrators of what LastPass will do differently in the future to avoid similar incidents.
- Cybersecurity
Tip for Updating Your Compliance Program: Continuing Education Requirements
In the second article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for keeping tabs on continuing education requirements.
- Compliance
- SEC
Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses
In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.
- Compliance
ACA Reflects on Black History Month Celebrations
Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.
- ACA News
SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert
The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.
- SEC
- Compliance