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
The Second Markets in Financial Instruments Directive (‘MiFID II’) has had an interesting journey. Originating in 2010, it sought to update the European regulatory framework for investment firms, reflecting the 2008 financial crisis and industry developments, including technological advances and commercial trends. The requirements eventually took effect in 2018 – 1 year behind schedule.
In the UK, a professional code setting out behavioural expectations is commonplace. Social workers have been subject to a code of ethics since 1975. A code of conduct for barristers has existed since at least the 19th Century. The Hippocratic Oath for physicians has been around for over 2,000 years!
Our Q4, 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. In the UK/Europe, regulators and legislators will focus on topics such as ESG, financial resources, conduct, culture and accountability, the transition from LIBOR, cryptocurrency regulation and updating existing legislative programmes.
The Hedge Fund Journal
RQC Group was founded in 2007 to provide integrated SEC and FCA compliance advice to clients and we are now one of the most well-respected compliance consultancies with offices in the US and the UK, servicing clients with AUM in excess of $580 billion.
In addition to Compliance Consulting, we also offer e-Learning compliance courses which complement our core consulting service, to help you connect the dots.
This course is designed to provide a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.
This course provides a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.
In June 2020, the U.S. Securities and Exchange Commission issued a Risk Alert entitled Observations from Examinations of Investment Advisers Managing Private Funds.
Keep up to date with the latest regulatory news in the US and UK
The UK Financial Conduct Authority (“FCA”) has banned three individuals from working in the financial services industry, following their convictions of serious non-financial criminal offences.
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.