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
SEC’s New ESG Disclosure Proposal Aims to Increase Transparency
The proposed rules require private funds to report ESG investing and integration practices.
- ESG
6 Strategies for Digitizing Your Compliance Program
This guide provides the strategies, insights, and resources for tech-enabling your compliance program and transforming it into a progressive powerhouse.
- RegTech
- ComplianceAlpha
Reviewing the Form ADV
Advisors must stay on top of changes in their firm, as well as regulatory updates, that could impact any part of their Form ADV.
- SEC
- Compliance
SEC Proposes Rule Amendments Regarding SPACs, Shell Companies, and Projections
The SEC issued a rule proposal to improve investor protections in connection with both initial public offerings made by SPACs, and de-spac transactions.
- Compliance
Sustainable Securitisation: White Whale or Inevitable Next Step in Evolution?
As investor interest in ESG rises, we examine the impact on the credit sector, and in particular the European Collateralised Loan Obligation (CLO) industry and ask, is it possible to satisfy investor demand and ESG regulations?
- ESG
- Compliance
SEC Issues First ESG-Related Enforcement Action Against an Investment Adviser
SEC settles charges with the Investment Advisor for $1.5 Million
- ESG
- SEC