RQC Group was founded in 2007 to provide integrated FCA and SEC compliance advice to clients, the first consultancy in the UK to do so, and we are now one of the most well-respected compliance consultancies with offices in the UK and the US, servicing clients with AUM in excess of $580 billion.
In addition to Compliance Consulting, we also offer Regulatory Hosting and e-Learning compliance courses, which compliment our core consulting service, to help you connect the dots.
Relevant for individuals that have been identified as being a senior manager under SMCR, including senior managers that are also performing a certification function. This course is inclusive of Conduct Rules.
This course is for staff members who are joining an FCA regulated investment firm. The course aims to provide a sound knowledge and awareness of key compliance concepts that relate to both the course participant’s employer and to the course participant in a personal capacity.
Keep up to date with the latest regulatory news in the UK and US
On October 6, 2020, FINRA issued a Regulatory Notice warning member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA asking member firms to complete a survey.
Our Q3, 2020 Quarterly Newsletter is part of a series that provides a regular update of key regulatory issues affecting the UK/EU and the USA, to help you connect the dots.
The Hedge Fund Journal