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
Impact of Proposed Regulations on Real Estate Advisers
The SEC staff under Chair Gary Gensler have been busy developing a raft of proposed new rules that could have big implications for real estate advisers, in particular those that are vertically integrated.
- Compliance
- Private Fund
SEC Chairman Highlights Continued Scrutiny of SPACs
The SEC Chairman laid out strong signals in December 2021 that he will push for tougher rules on SPACs.
- Compliance
Transaction Reporting: A Common Good, Commonly Wrong
Startling findings have detected that most firms are struggling with their transaction reporting obligations under MiFIR / EMIR. Results reveal more than 6M transaction reporting errors identified across a sample of 30 review projects, averaging 200,000 errors per review. This means that regulators are not receiving the data they need to successfully identify market abuse and systemic risk.
- Compliance
- FCA
- Trade & Transaction
NFA Revises Key Financial Balances for Pool Financial Statements Filing for CPOs
The NFA has recently made changes to the annual pool financial statements filings required for all registered CPOs that operated a commodity pool in 2021.
- Compliance
Preliminary Investigation Finds No Evidence of Okta Breach
Screenshots and images of Okta's internal systems were circulated online early March 22nd by the hacking group LAPSUS$.
- Cybersecurity
- Cybersecurity Resources
SEC Proposes Changes to Climate Disclosures
The SEC voted in favor of proposed amendments that enhance and standardize registrants’ disclosures and require periodic reporting on the climate impacts and greenhouse gas emissions of companies.
- ESG