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
Global Cybersecurity Authorities Warn of Cyber Threats Against Managed Service Providers
The joint Cybersecurity Advisory (CSA) advises that MSPs, are prime targets for cyber-attacks, a trend likely to continue for the foreseeable future, as threat actors aim to exploit the innate trust in MSP-customer relationships.
- Cybersecurity
- Cybersecurity Resources
SEC’s Climate & ESG Task Force Issues First Enforcement Action
SEC Claims Mining Company Mislead Investors
- ESG
- SEC
The 2022 Investment Management Compliance Testing Survey is Now Open
The survey, now in its 17th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
- Compliance
A Drop of Clarity in the Regulatory Sea of Change
As we tentatively emerge into the post-pandemic world, the global financial industry has a myriad of regulatory hurdles to navigate. We provide guidance on key areas that firms will need to focus on in the coming months.
- Compliance
- ESG
- SEC Marketing Rule
Celebrating Asian and Pacific Islander American Heritage Month
May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!
- ACA News
SEC Increases The Size Of Their Crypto Assets and Cyber Unit
With new challenges and risks crypto poses to investors, the U.S. Securities and Exchange Commission endeavors to dedicate more resources to protect market participants from securities law violations related to crypto.
- Cybersecurity
- Cybersecurity Resources
- Compliance