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
Building a Programmatic Approach to Cybersecurity Oversight
A formal and consistent cybersecurity oversight program is necessary across all portfolio companies to protect investments and meet investor expectations.
- Portfolio Company Risk Management
- Cybersecurity
A Primer in Launching an ETF Under a Turn-Key Structure
Looking to launch an ETF? We share what you need to know to get started including costs, timing, and resources required.
- Compliance
- Distribution
Tip for Updating Your Compliance Program: Fiduciary Standard
The SEC put out a Bulletin “to help insure investment professionals live up to” their obligations under Regulation BI and the Commission Interpretation Regarding Standard of Conduct for Investment Advisers (the “Fiduciary Interpretation”). We share tips for meeting these standards.
- Compliance
- SEC
Car Washes, Motels... now the Post Office? Money Laundering hits the UK High Street.
In December 2022 the FCA issued final notice against a UK regulated bank for serious and persistent gaps in its anti-money laundering (AML) controls in its Business Banking portfolio. New reporting shows the UK Post Office system was specifically targeted to launder those proceeds and moved approximately £1.3bln through the institution.
- AML and Financial Crime
FAQ About the Principles for Responsible Investment (PRI)
We’ve put together an FAQ to help you navigate the various requirements of being a PRI signatory (including the annual reporting requirement).
- ESG
2023 Investment Management Compliance Testing Survey is Now Open
The survey, now in its 18th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
- Compliance