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.

  • 07 February 2024
  • 18 April 2024
  • 20 June 2024
  • 17 October 2024

 Book Today

  • 05 December 2023
  • 25 January 2024
  • 07 March 2024
  • 23 April 2024
  • 06 June 2024
  • 24 July 2024
  • 12 September 2024
  • 31 October 2024
  • 03 December 2024

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  • 01 February 2024

  • 27 March 2024

  • 11 June 2024

  • 25 July 2024

  • 17 September 2024

  • 19 November 2024

 Book Today

  • 07 December 2023
  • 05 March 2024
  • 16 May 2024
  • 24 September 2024
  • 05 December 2024

 Book Today

  • 12 December 2023
  • 28 March 2024
  • 27 June 2024
  • 26 September 2024
  • 10 December 2024

 Book Today

  • 30 November 2023
  • 15 February 2024
  • 17 April 2024
  • 01 August 2024
  • 03 October 2024
  • 28 November 2024

 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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Regulatory Enforcement of Off-Channel Communications

The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.

Compliance Alert
  • SEC
  • Compliance
  • RegTech
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FCA Publishes Market Watch 74

The UK FCA's Market Watch 74 focuses on transaction reporting issues, highlighting improvements but persistent data quality problems. It covers MDP usage, E&O submissions, validation rules, decision maker identification, and more.

Compliance Alert
  • FCA
  • Compliance
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General Solicitation Under Regulation D – Recent Trends and Enforcement Activity

There has been a rise in 506(c) general solicitation offerings due to factors such as shifts in SEC's attitude and increased enforcement of 506(b) rules.

Article
  • SEC
  • Compliance
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Zoom’s New Terms of Service Create Data Privacy Concerns

Zoom's updated Terms of Service introduce changes allowing broader use of customer data for its AI programs, raising privacy concerns due to vague language and limited opt-out options.

Cyber Alert
  • Privacy
  • Cybersecurity
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Solving Investment Industry Challenges: The Strategic Role of Managed Performance Services

As the cost of in-house talent increases, firms must adopt efficient investment performance measurement and reporting processes, such as leveraging outsourced performance services.

Report
  • Performance
  • Managed Services
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The Increasing Importance of Robust Insider Trading Controls at Private Markets Fund Managers

Private markets fund managers have underestimated insider trading risks due to their limited involvement in public markets, but increasing interactions with public companies and expert networks have heightened exposure to material nonpublic information (MNPI).

Article
  • Compliance