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.

  • Check back for dates
  • 18 April 2024
  • 18 June 2024
  • 17 October 2024

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  • 23 April 2024
  • 06 June 2024
  • 24 July 2024
  • 12 September 2024
  • 31 October 2024
  • 03 December 2024

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  • 11 June 2024

  • 25 July 2024

  • 17 September 2024

  • 19 November 2024

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  • 16 May 2024
  • 24 September 2024
  • 05 December 2024

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  • 27 June 2024
  • 26 September 2024
  • 10 December 2024

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  • 17 April 2024
  • 01 August 2024
  • 03 October 2024
  • 28 November 2024

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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

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Anticipated Behavior Profile

Financial institutions (“FI’s”) are required by Anti-Money Laundering (“AML”) regulations to perform risk-based due diligence for their customers and prospective customer.

Article
  • AML and Financial Crime
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Calculating Assets Under Management vs. Assets Under Advisement

The SEC has been paying close attention to discrepancies in Form ADV filings, specifically reviewing assets under management. When Annual Updates are due, it’s important to pay close attention to how you calculate your regulatory assets under management (RAUM).

Article
  • Compliance
  • SEC
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Continuing Education – Regulatory Element vs. Firm Element

FINRA Rule 1250 requires registered persons to participate in Continuing Education (“CE”), with both Regulatory Element and Firm Element training. We break down these categories and how to differentiate them.

Article
  • Compliance
December

Branching Out – Office Registration

When opening a new office in the securities industry, FINRA’s Rule 3110(f) outlines the role of each associated office and registration requirements for each office type.

Article
  • Compliance
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New FINRA Rule 3210 - Accounts at Other Broker-Dealers and Financial Institutions

FINRA has received approval to update the requirement for disclosure and review of employee brokerage accounts. On April 13, 2016, the U.S. Securities and Exchange Commission (“SEC”) approved Financial Industry Regulatory Authority (“FINRA”) Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to replace current National Association of Securities Dealers (“NASD”) Rule 3050 (Transactions for or by Associated Persons). The effective date for this rule has not yet been determined.

Compliance Alert
  • Compliance