FCA Regulatory Training
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 compliance training, designed to help you and your firm understand the regulatory framework and apply compliance.
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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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Countdown to Compliance: Ringing in 2025 with AML Readiness
For RIAs and ERAs, the new year presents an opportunity to strengthen AML compliance practices. With FinCEN’s AML Rule approaching, taking proactive steps now will help firms avoid last-minute stress, meet requirements confidently, and achieve full compliance readiness.
- AML and Financial Crime
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Lessons learned about vendor management from Santa’s workshop
Santa’s workshop offers valuable insights for vendor management in the financial industry. With careful planning, continuous oversight, and high standards, firms can mitigate risks, enhance performance, and achieve seamless results.
- Managed Services
- RegTech
- Compliance
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Carlo di Florio's Take on the Regulatory Landscape of Financial Services
Our President, Carlo di Florio, recently joined Eliot Raman Jones of the Waters Wavelength podcast for an engaging discussion about the evolving regulatory landscape in financial services.
- Compliance
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Tis the Season for Testing: Why Mock Exams Are the Gift That Keeps on Giving
With regulators like the SEC, FCA, DFSA, and FSRA maintaining strict oversight, mock exams are a proactive way to identify and address compliance gaps. Prepare now to ensure your firm is ready to meet regulatory expectations and avoid costly surprises.
- SEC
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Who's Been Naughty or Nice? Compliance Surveillance in 2024
As the holidays approach, it’s time to evaluate your firm’s compliance and surveillance practices. Are your systems on Santa’s "Nice" list, ensuring robust oversight, or teetering on the "Naughty" side, risking regulatory scrutiny?
- Compliance
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The CFA Institute Finalized Guidance Statement for OCIO Portfolios
The guidance statement helps OCIO firms claim compliance with the Global Investment Performance Standards.
- Performance