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Courses
- Anti-Market Abuse for UK Investment Firms
- Anti-Money Laundering for UK Investment Firms
- Compliance Issues from SEC Examination
- Induction Training for SEC Registered Investment Advisers
- Refresher Training for SEC Registered Investment Advisers
- Enhanced Firms SMCR Toolkits
- Core Firms SMCR Toolkit
- Limited Scope Firms SMCR Toolkit
- FCA Compliance Refresher for Senior Managers at Investment Firms
- FCA Compliance Induction for Senior Managers at Investment Firms
- FCA Compliance Refresher for Investment Firms
- FCA Compliance Induction for Investment Firms
- Enhanced Firms:
Conduct Rules - Enhanced Firms:
SMCR For Certified Staff - Enhanced Firms:
SMCR for Senior Managers - Enhanced Firms:
SMCR Overview Module - Core Firms:
Conduct Rules Training - Core Firms:
SMCR for Certified Staff - Core Firms:
SMCR for Senior Managers - Core Firms:
SMCR Overview Training - Limited Scope Firms:
Conduct Rules - Limited Scope Firms:
SMCR for Certified Staff - Limited Scope Firms:
SMCR For Senior Managers - Limited Scope Firms:
SMCR Overview
News
- Recorded webinar: Taxing times in a Regulated industry
- FCA SMCR deadline extension: Some relief, but still much to consider
- Quarterly Newsletter: July 2020
- Overview of the SEC’s Office of Compliance Inspections and Examinations (OCIE) Risk Alert:
- Post-Brexit UK regulatory environment: FCA and UK government paving the way
- Compliance Survey Results
- Covid-19: Taking stock of regulatory priorities
- Private equity firm Ares Management LLC charged with compliance failures
- Compliance Induction and Refresher Training for a Digital Age
- Demystifying SMCR
- Quarterly Newsletter: April 2020
- Securities Financing Transactions Regulation – Reporting Obligations To Take Effect In 2020
- FCA Publishes Advice Regarding Coronavirus Outbreak
- Business Continuity Planning And Coronavirus
- FCA’s Asset Management Letters Should Not Be Viewed In Isolation
- Regulatory Briefing January 2020
- Robert Quinn Consulting Announces Partnership With Vero Screening
- How To Become a Compliance Lawyer
- Cross Border Distribution Of AIFs And UCITS
- Regulatory Capital Changes
