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
Regulation S-P Establishes Data Breach Notification and Planning Requirements
The SEC adopted amendments to Regulation S-P intended to provide investors with greater privacy protections and transparency into data breaches.
- Cybersecurity
- SEC
Changes to the SEC Robo-Adviser Exemption
The U.S. Securities and Exchange Commission (SEC) amended Advisers Act Rule 203A-2(e), resulting in a change to the exemption certain internet investment advisers (robo-advisers) rely on.
- SEC
Naming and… Sustaining? The FCA’s Sustainability Disclosure Requirements
The FCA recently extended their Sustainability Disclosure Requirements (SDR) to portfolio managers in addition to confirming final guidance to help firms comply with the new anti-greenwashing rule.
- ESG
Strategies to Transform Your Compliance Program with Technology - #6: Regulatory Priorities
Prioritize automation using the regulators’ priorities.
- RegTech
- ComplianceAlpha
Ten Advantages of Pursuing FCA Authorisation
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
- FCA
- Compliance
Ten Advantages to Turn to Regulatory Hosting in the UK and EU
If you're navigating this complex terrain and want to access the EU or UK markets, exploring the regulatory hosting route could offer significant commercial and operational advantages.
- Mirabella