Compliance Consulting

Since RQC Group was founded in 2007, the regulatory landscape has changed significantly for our clients in the asset management and wholesale industry, with a plethora of new regulatory initiatives launched in response to the 2008 financial crisis.

Throughout this time we pride ourselves on the partnership that we have forged with our clients, some of whom have been with us for over a decade. Compliance consulting has remained at the core of what we do, and it will continue to do so as we continue to grow.

Compliance Consulting

Since RQC Group was founded in 2007, the regulatory landscape has changed significantly for our clients in the asset management and wholesale industry, with a plethora of new regulatory initiatives launched in response to the 2008 financial crisis.

Throughout this time we pride ourselves on the partnership that we have forged with our clients, some of whom have been with us for over a decade. Compliance consulting has remained at the core of what we do, and it will continue to do so as we continue to grow.

FCA

Our team of experienced FCA senior regulatory consultants can help with your FCA application, ongoing requirements or any adhoc project work.

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SEC

Whether you are based in the USA or UK, we can help you navigate your SEC obligations with full or ERA registration, ongoing compliance and project work such as mock inspections.

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SEC

Whether you are based in the USA or UK, we can help you navigate your SEC obligations with full or ERA registration, ongoing compliance and project work such as mock inspections.

Learn more

CFTC/NFA

Our team of experts in the USA can help you register as a Commodity Pool Operator (“CPO”) or Commodity Trading Adviser (“CTA”) and then assist you with your ongoing compliance obligations.

Learn more

SEC

Whether you are based in the USA or UK, we can help you navigate your SEC obligations with full or ERA registration, ongoing compliance and project work such as mock inspections.

Learn more

CFTC/NFA

Our team of experts in the USA can help you register as a Commodity Pool Operator (“CPO”) or Commodity Trading Adviser (“CTA”) and then assist you with your ongoing compliance obligations.

Learn more

CFTC/NFA

Our team of experts in the USA can help you register as a Commodity Pool Operator (“CPO”) or Commodity Trading Adviser (“CTA”) and then assist you with your ongoing compliance obligations.

Learn more

FCA

Our team of experienced FCA senior regulatory consultants can help with your FCA application, ongoing requirements or any adhoc project work.

Learn more
Download our Compliance Consulting Brochure


Accessible

All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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Automated

All courses are delivered through fully-automated, interactive online visual solutions.

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Affordable

Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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Certified

A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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Measurable

All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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Fast

Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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