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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

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