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
Laying the Groundwork for Future Shadow Trading Enforcement
The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.
- RegTech
- Compliance
- Trade Surveillance
Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)
Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.
- RegTech
- Compliance
The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit
FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.
- AML and Financial Crime
- Compliance
The Slippery Slope of Private Fund Manager Issuer Exemption
For firms marketing privately-issued securities, whether as a private fund manager or issuer, ensuring their activity is compliant with FINRA or SEC regulations is essential.
- Distribution
ACA Launches ESG Portfolio Monitoring for Private Markets
Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.
- ESG
- ACA News
Private Fund Adviser Rules Timeline
Download a timeline that maps out each critical phase of the SEC's Private Fund Adviser Rules and the timeframes required to meet the rule's deadlines.
- Private Fund
- SEC
- Compliance
- Performance