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
Are You FINRA Licensed?
Many asset managers come to us when they find out they can no longer rely on the issuer exemption and are faced with the dilemma of their staff promoting their funds. We break down the requirements to help you avoid this issue.
- Distribution
- FINRA
U.S. Regulatory Update – October 2023
The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.
- Compliance
- Private Fund
- SEC
- SEC Marketing Rule
- FINRA
- ComplianceAlpha
White Paper - Completing the Puzzle: A Global GIPS Compliant Firm Definition
The case for private markets to adopt the Global Investment Performance Standards (GIPS®).
- Performance
- GIPS Standards
ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.
- ACA News
- Private Fund
- SEC
- Compliance
Strengthen Your AML Program
Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.
- AML and Financial Crime
- RegTech
2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change
The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.
- SEC
- Compliance
- Performance
- Cybersecurity
- ESG