Comprehensive Training Solutions

August 18, 2021

As we look toward a new year, it is important to start developing a testing plan that fits the specific needs of your firm. Given the unpredictability of 2020 and 2021, deciding your compliance testing schedule for 2022 requires exceptional preparedness.

August 17, 2021

As we enter the second half of 2021, it’s time to start preparing for 2022 and establishing a compliance budget for the upcoming year. To help firms planning for their 2022 fiscal year budget, or those adjusting spend to tackle new initiatives, get started, we have gathered from compliance professionals tips that will explain the foundational needs of a compliance budget, how that looks in action, and how to prepare for the unexpected.

August 11, 2021

Ahead of COP26 in November 2021, the FCA has published consultation paper (CP 21/17) on the implementation of mandatory TCFD disclosures. For many firms, data gathering requirements start from 1 January. We outline the considerations for firms in scope.

August 10, 2021

When it comes to MiFIR Transaction reporting how confident are you? Or more importantly, how confident should you be? Our peer analysis infographic reveals worrying results that suggest that most firms still have a long way to go

August 06, 2021

On July 21, 2021, the Division of Examinations released the "Cross Trade Risk Alert". Although this risk alert is focused on fixed income investments, what can real estate and private equity managers, including those that do not invest in fixed income instruments, learn from this risk alert and other SEC staff activities related to principal and cross trades?

August 06, 2021

The SEC announced that 27 firms violated the Investment Advisers Act of 1940 and the Exchange Act, failing to file and deliver customer relationship summaries to their retail investors in a timely manner.