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
UPDATE: Okta Concludes Investigation, Determines Only Two Tenants Affected
An update from a previous cyber alert. Okta has revealed the impacted customers trace back to a January security incident.
- Cybersecurity
- Cybersecurity Resources
Bungled Family Account Aggregation Can Cause Compliance Aggravation for RIAs
Family account aggregation, commonly known as householding, can help clients to save money on their investment advisory fees.
- Compliance
Q2 2022 Regulatory Reporting Deadlines
SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from April through June 2022.
- Compliance
Microsoft Identifies Critical Remote Code Vulnerability
On April 12, 2022, Microsoft notified users of a remote code execution vulnerability (CVE-2022-26809). Immediate patching is needed.
- Cybersecurity
- Cybersecurity Resources
FINRA Reminder of Liability for Failing to Discharge Rule 3110
FINRA Regulatory Notice 22-10 reminds members of their liability if they fail to discharge Rule 3110 about designated supervisory responsibilities.
- Compliance
Family Offices: Both Fish and Fowl?
There is a nagging debate regarding the status of Family Offices that precedes the introduction of Regulation Best Interest.
- Compliance