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
UK Authorities Reboot Financial Promotions Rules, Including Cryptoassets
Both the UK's HM Treasury and Financial Conduct Authority have taken aim at the perceived weaknesses of financial promotions, including cryptoassets. With this increasing focus on marketing and advertising rules, we outline measures that firms should take note of, and provide next steps for reviewing arrangements and strategies.
- FCA
- Compliance
SEC Signals Desire for Reevaluation of Private Markets Regulation
Public remarks show that growth of the private markets industry is spurring interest by SEC senior staff. What does this mean?
- Compliance
- Private Fund
Cybersecurity And the Workplace: Part 2
Cybersecurity implications surrounding the Great Resignation. This blog post is the second in a series that aims to breakdown the cybersecurity implications of current trends in the workplace.
- Cybersecurity
- Cybersecurity Resources
Annual GIPS Compliance Notification Form Deadline is June 30
Organizations that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance by June 30, 2022.
- Performance
Conference Recap: American Bar Association Cybersecurity and Data Privacy
Buyers across industries are facing significant changes to their cyber insurance policies due to these hardening market trends.
- Cybersecurity
- Cybersecurity Resources
Federal Cybersecurity Changes Continue
On March 9, 2022, the SEC voted 3-1 in favor of proposed amendments that enhance and standardize registrants’ disclosures concerning cyber risk management, strategy, governance, and incident reporting.
- Cybersecurity
- Cybersecurity Resources