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
The SEC’s 2023 Exam Priorities
The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.
- Cybersecurity
- SEC
- Compliance
- ESG
2023 Environmental, Social, and Governance Filings Calendar
Download our environmental, social, and governance (ESG) filings calendar to see global filing responsibilities and which firms each filing pertains to at a glance.
- ESG
- Regulatory Deadlines
Amendments to Rule 17a-4 Electronic Recordkeeping Requirement
The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.
- Compliance
Survey: How Does Your Compliance Program's Resources Compare to Your Peers?
Participate in our budget and staffing survey to learn how other compliance programs are allocating their resources.
- Compliance
EXAMS Observations Related to Regulation NMS Rule 606 Disclosures
The risk alert outlines observations made during SEC examinations of Rule 606(a) disclosures since the first quarter of 2020, noting issues with firms' material aspects disclosures.
- Compliance
Newly Discovered Phishing Campaigns Evade Anti-Malware Systems
Two new phishing tactics have successfully evaded anti-malware systems: PY#RATION and Blank Image Attacks.
- Cybersecurity