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 PRI Announces the Release of their 2023 Reporting Framework
The updated framework aims to incorporate signatory feedback from the 2021 Pilot Program.
- ESG
Is Your Organization’s Privacy Program Equipped to Tackle the Road Ahead?
January 28th is Data Privacy Day, a reminder that organizations should review their privacy obligations.
- Cybersecurity
What the SEC’s Increased ESG Focus Means For You
Environmental, Social, and Governance (ESG) considerations are a growing priority for regulators. We review recent trends and areas of focus in SEC examinations.
- ESG
How Will the Economic Downturn Impact Compliance Teams?
We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.
- Compliance
- Managed Services
U.S. Regulatory Update – January 2023 Edition
We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.
- Compliance
- ESG
2023 FINRA Regulatory Filings Calendar for Broker-Dealers
Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.
- Regulatory Deadlines
- Compliance