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

  • 06 June 2023
  • 25 July 2023

  • 12 September 2023

  • 31 October 2023

  • 05 December 2023

 Book Today

  • 08 June 2023

  • 27 July 2023

  • 14 September 2023
  • 16 November 2023

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  • 21 September 2023
  • 07 December 2023

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  • 29 June 2023
  • 19 September 2023
  • 12 December 2023

 Book Today

  • 20 June 2023
  • 01 August 2023
  • 03 October 2023
  • 30 November 2023

 Book Today

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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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.

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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.

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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.

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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.

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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.

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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.

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