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.
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
Enhancing Valuations and Investor Trust with Cybersecurity Portfolio Oversight
Programmatic cybersecurity portfolio oversight will meet increased investor expectations and safeguard and grow the valuation of investments.
- Cybersecurity
- Cybersecurity Resources
White Paper: Unveiling Industry Perspectives on the SEC’s Proposed Cyber Rule 206(4)-9
The public has weighed in on the SEC's proposed Rule 206(4)-9, which sets cybersecurity risk management expectations for investment firms. In this guide, we discuss the industry's reaction, exploring the main areas of concern for the Rule.
- Cybersecurity
- Compliance
- SEC
Maintaining Quality Investment Performance Measurement and Reporting Amid Increased Pressure
The investment industry is undergoing transformation due to technology, changing preferences, and regulations, while firms struggle with recruitment, compliance, and costs. Firms need efficient processes and technology adoption to reduce the burden on in-house resources.
- Managed Services
- Performance
White Paper: Building and Distributing an Exchange-Traded Fund from Start to Finish
In this guide, we walk you through everything you need to know to start launching an exchange-traded fund (ETF), including the differences between ETFs and other product offerings, startup costs, necessary service providers, and how to gain assets via distribution.
- Distribution
Active Risk Alert: Firms Receiving Phishing Attempts from Compromised Internal Emails
On August 11th, ACA confirmed three financial services firms are experiencing phishing attacks using identical phishing emails and tactics. Firms should be on heightened alert.
- Cybersecurity
Regulatory Enforcement of Off-Channel Communications
The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.
- SEC
- Compliance
- RegTech