Comprehensive Training Solutions

October 28, 2020

The FCA recently provided updates about the impact of on-shoring EU legislation at the end of the Brexit transition period. We examine what this, the Temporary Transition Power, and changes to the FCA's handbook mean for firms.

October 26, 2020

The FCA is approaching private market firms to check how they consider governance both internally and with respect to their portfolio companies. Learn more about what this means for firms.

October 23, 2020

Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the fourth quarter of 2020.

October 22, 2020

We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.

October 16, 2020

The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.

October 14, 2020

The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.