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
Market Makers – What You Should Know
Market makers are broker-dealer firms that provide pricing for ETFs and liquidity in the secondary market.
- Distribution
SEC Private Fund Adviser Rules: What Made the Cut
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.
- Compliance
- Performance
- Private Fund
White Paper: How to Effectively Utilize the Cyber Threat Landscape
This white paper takes a look at the current threat landscape to glean lessons from cyberattacks that can help firms secure their organizations.
- Cybersecurity
- Cybersecurity Resources
Case Study: Global Investment Performance Standards Compliance for a Large Investment Manager
Leveraging a GRC firm’s expertise and resources enabled the company to overcome its complex challenges and improve its investment performance program while maintaining a high level of compliance with the Global Investment Performance Standards.
- Performance
- Managed Services
The New TPF Regime: Treating Politicians Fairly?
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
- Compliance
- AML and Financial Crime
ESG Marketing in the SEC's Crosshairs
The SEC's specialized Climate and ESG Task Force recently issued subpoenas to several asset managers requesting marketing materials related to environmental, social, and governance.
- ESG
- Investment Adviser