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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.
Keep up to date with the latest regulatory news in the UK and U.S.
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.
An overview of SMCR from the firm’s perspective. It is of use to anyone within the firm to understand the new regulations.
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.
Keep up to date with the latest regulatory news in the U.S. and UK
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.
