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
Operational Resilience in Focus, Part Two: Operational Resilience and Cyber
In part two of our Operational Resilience in Focus series, we will discuss the details of the cyber and information security resilience domain.
- Cybersecurity
- Cybersecurity Resources
SEC Enforcement Action for Violating Reg BI Standards
The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest
- SEC
- Compliance
2022 Investment Management Compliance Testing Survey Results Released
For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.
- Compliance
Q3 2022 Regulatory Reporting Deadlines
SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from July through September 2022.
- Compliance
The SEC Approves Amendments to FINRA Rule 2231
The SEC approved a rule change to amend FINRA Rule 2231 with respect to Customer Account Statements. FINRA will announce the proposed change’s effective date shortly.
- Compliance
Hedge Fund Quarterly Update 2022 Q1
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
- Compliance