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
New Marketing Rule Performance Net Return Calculation Methodologies
Learn how private fund managers can calculate extracted and hypothetical performance to the relevant portfolio, and identify and model its net performance in line with the SEC's new Marketing Rule.
- Compliance
- SEC
- SEC Marketing Rule
Apple Warns of Two Vulnerabilities
In Apple’s latest software release update for iOS 15.6.1, Apple urges users to update their devices as soon as possible to avoid two known security issues.
- Cybersecurity
- Cybersecurity Resources
Market Volatility and Downstream Security Implications
Market volatility is predicted to have an impact on the cyber risk landscape. Learn the implications of the current risk and how your firm can prepare for an uncertain future.
- Cybersecurity
- Cybersecurity Resources
SEC Unauthorized Electronic Communications Sweep Key Takeaways
The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.
- Compliance
- SEC
- RegTech
- ComplianceAlpha
The SEC’s New Marketing Rule: All Change Please
Coming into force on 4 November 2022, the SEC's new marketing rules introduce ssubstantial changes for all registered firms, wherever they are in the world. We outline why its key that firms familiarise themselves with the requirements now and take steps today to begin to implement these new compliance obligations, as several pieces of the work will take time and require resources
- SEC Marketing Rule
- Compliance
- SEC
Microsoft Releases Information on 100+ Vulnerabilities
Learn about Microsoft's latest vulnerabilities, as well as recommendations for protecting your firm against them.
- Cybersecurity