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
SEC Proposed Order Competition Rule
The SEC proposed to amend the order competition requirements of the National Market System, which would promote competition and protect individual investors.
- Compliance
- SEC
Will SM&CR Pass Its Own Fit and Proper Test?
SM&CR is being assessed by the FCA, PRA, and HM Treasury and invites stakeholder views on areas of potential change, specifically the effectiveness, scope, and proportionality of SM&CR and "other improvements" to SM&CR.
- Compliance
- FCA
Tip for Updating Your Compliance Program: Prohibited Transaction Exemption
To receive prohibited compensation, investment advisers and broker-dealers must comply with DOL's PTE 2020-02, including impartial conduct standards, required disclosures, policies, and an annual review.
- Compliance
White Paper: 4 Myths About Cybersecurity Portfolio Oversight
This paper addresses 4 common myths firms often assume about cybersecurity portfolio oversight and provides a path forward to build an effective approach to cybersecurity across your portfolio.
- Portfolio Company Risk Management
- Cybersecurity
ACA Group Launches ACA Vantage to Help Meet Investor Expectations for Portfolio Company Cybersecurity Oversight
New solution provides private markets firms with strategic advantage to aid growing expectations into oversight of cybersecurity.
- Portfolio Company Risk Management
- Cybersecurity
- ACA News
Tip for Updating Your Compliance Program: Electronic Communications
The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.
- eComms Surveillance
- Compliance
- RegTech