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
Phishing Campaign Taking Advantage of Annual Form ADV Update
Cybercriminals are posing as regulators in phishing attempts on investment advisers, requesting data, and threatening inactivity if not provided. Learn how to identify these phishing attempts and what to do if you receive one.
- Cybersecurity
White Paper: Interval and Tender Offer Funds
Learn the regulatory framework and operational considerations associated with unlisted closed-end funds.
- Distribution
Proposed Amendments for Regulation NMS
The SEC proposed various rule amendments to Regulation NMS to adopt variable minimum pricing increments, reduce access fee caps, and enhance the transparency of better-priced orders.
- Compliance
- SEC
ACA Chooses to #EmbraceEquity to Resist Inequality
ACA hosted a full month of celebrations focused on all of our hardworking women in the workplace.
- ACA News
Proposed Regulation Best Execution Standard
The SEC proposed new regulations requiring broker-dealers to establish policies on conflicted transactions, assess execution quality, and preserve regulation compliance records, among other specific provisions.
- Compliance
- SEC
Tip for Updating Your Compliance Program: ESG
Investor demand has pushed funds to incorporate more ESG factors. As a result, the SEC has launched a Climate and ESG Task Force to identify ESG-related misconduct.
- ESG
- SEC