Comprehensive Compliance and Risk Training Solutions

Compliance training educates employees on relevant laws, regulations, and company policies. For financial services firms, it is especially critical; it ensures employees understand financial regulations, industry best practices, typical conflicts of interest, and ethical standards. This helps reduce risk, prevent violations, maintain compliance with regulatory standards, and foster a culture of integrity, ultimately protecting the firm’s reputation and client trust.

Yes, many financial regulators require ongoing compliance training, though specific requirements vary by jurisdiction and regulatory body. For example:

• The SEC, FINRA, CFTC, NFA (U.S.) – Mandate regular training to ensure staff understand and comply with securities laws and ethical standards.
• The FCA (UK) – Requires firms to maintain adequate training and competence standards, especially under the Senior Managers and Certification Regime (SM&CR).
• ESMA (EU) – Encourages ongoing training as part of broader governance and risk management frameworks.
• DFSA (DIFC) and FSRA (ADGM) – Require firms to ensure all employees are adequately trained in compliance and financial crime prevention with specific roles requiring minimum number of hours CPD per year.
• State Securities Commissions – Mandate 12 credit hours, including six hours of ethics training and six hours of product training. Must be administered by an approved provider.
• Training should be tailored to roles and updated regularly to reflect regulatory changes, emerging risks, and internal responsibilities.

All employees benefit from compliance training, with specific programs for compliance officers, risk managers, traders, investment advisors, and other globally regulated roles. Employees registered as investment adviser representatives (IARs) with certain state or jurisdictional regulatory bodies may also be required to complete specific IAR continuing education.

Employees should receive general compliance training at least annually, which is considered the industry standard across major financial regulators including the FCA, SEC, CFTC, NFA, FINRA, DFSA, and FSRA. For state-specific IAR continuing education, annual training is required.

Courses are recommended when:

• Regulations evolve or new rules are introduced.
• New risks emerge (e.g., cybersecurity, ESG).
• New employees join the firm.
• Staff take on roles with additional compliance responsibilities.

Yes, we provide targeted training for roles such as compliance officers, senior managers, risk professionals, investment advisors, marketing, sales, and business development professionals, and trading personnel.

We can also provide bespoke training to meet your firm’s needs.

Yes, we offer customized training programs tailored to your firm’s compliance framework, regulatory obligations, and industry-specific risks.

We offer various formats, including interactive eLearning modules, virtual and in-person sessions, and blended learning approaches to suit different learning preferences. We also provide regular topical webcasts with expert views responding to industry updates.

We provide comprehensive, regulator-specific training programs tailored to help firms meet global and regional compliance requirements. Our offerings include:

• FCA (UK) – Open and bespoke training aligned with the UK regulator’s expectations, including annual compliance courses, and conduct rules.
• SEC, CFTC, NFA, and FINRA (U.S.) – Expert-led programs covering U.S. financial services regulations.
• DFSA and FSRA (UAE) – Courses designed to navigate the regulatory frameworks of the Dubai Financial Services Authority and the Financial Services Regulatory Authority.
• IAR continuing education (USA) – Courses designed to satisfy the 12-credit, state-mandated continuing education requirements.

We continuously monitor regulatory changes and update our training content to reflect the latest developments and compliance best practices. This ensures your employees receive timely, accurate, and relevant information to stay compliant in a dynamic regulatory environment.

We recommend ongoing engagement through refresher courses, compliance communications, policy reminders, and periodic knowledge assessments.

Our engaging content and interactive elements capture employees’ attention, fostering a culture of compliance and ethical behavior, leading to better retention and application of training.

We use metrics such as knowledge assessments, behavioral observations, feedback surveys, and compliance audits to ensure the training leads to measurable improvements.