Comprehensive Training Solutions

December 18, 2019

Download our printable calendar of key regulatory reporting deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.

December 13, 2019

A number of regulatory updates and industry developments happened in 2019 that may impact how year-end compliance tasks are prioritized and 2020 initiatives are set. We’ve compiled a checklist to help guide you through key areas as you work to meet your 2019 obligations and head into 2020.

December 11, 2019

From 1 January 2020, many UK fund managers and providers will be more responsible and accountable for financial management as well as environmental, social and governance ESG. We examine what these changes mean for firms.

November 27, 2019

Yesterday, the UK arm of a large international banking group was issued a record fine of £44 million for governance and control failings surrounding its capital adequacy and regulatory reporting. What lessons can firms learn from this enforcement?

November 25, 2019

Over-burdened Chief Compliance Officers and compliance teams that are stretched too thin are more likely to experience burnout and make mistakes, exposing firms to risk. We examine how outsourcing can help improve standards, reduce risk, create operational efficiencies and ultimately bring about cost savings.

November 22, 2019

Our latest white paper provides a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.