Compliance Training in Europe

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 courses, designed to help you and your firm understand the regulatory framework and apply compliance.

Upcoming Training Courses

Take the opportunity to book onto one of our virtual and interactive courses.

  • 07 February 2023
  • 05 July 2023
  • 18 October 2023

 Book Today

  • 09 March 2023
  • 20 April 2023
  • 06 June 2023
  • 25 July 2023

  • 12 September 2023

  • 31 October 2023

  • 05 December 2023

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  • 02 February 2023

  • 29 March 2023 

  • 08 June 2023

  • 27 July 2023

  • 14 September 2023
  • 16 November 2023

 Book Today

  • 02 March 2023
  • 16 May 2023

  • 21 September 2023

  • 07 December 2023

 Book Today

  • 30 March 2023
  • 29 June 2023
  • 19 September 2023
  • 12 December 2023

 Book Today

  • 16 February 2023
  • 18 April 2023
  • 20 June 2023
  • 01 August 2023
  • 03 October 2023
  • 30 November 2023

 Book Today

We offer a wide range of courses, designed to help you understand the regulatory framework and apply compliance. 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.

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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

ACA

U.S. Regulatory Update – January 2023 Edition

We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.

Newsletter
  • Compliance
  • ESG
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2023 FINRA Regulatory Filings Calendar for Broker-Dealers

Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.

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Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs

As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.

Article
  • Compliance
  • SEC
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SEC Cybersecurity Rule 206(4)-9 Expected to Be Finalized in April 2023

The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
  • SEC
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The SEC Plans to Finalize ESG-Related Rules in 2023

The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.

Compliance Alert
  • ESG
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December

Updated FAQ About the SEC Marketing Rule Performance Requirements

The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).

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  • SEC Marketing Rule
  • SEC