<img src="https://certify.alexametrics.com/atrk.gif?account=b2hlr1ah9W20em" style="display:none" height="1" width="1" alt="">
    Login
    Get started

    Compliance Training Blog

    Best practice, expert opinions, industry insights, news and key trends in regulatory compliance training, digital learning, EdTech and RegTech.

    16 FAQs Answered About the SMCR Extension to Insurers

    Do you have questions about the extension of the Senior Managers and Certification Regime (SM&CR) to Insurers? You may be keen to understand what it w...

    Read More

    What should Insurers be doing now to prepare for SMCR

    The extension of the Senior Managers and Certification Regime (SM&CR) to dual regulated insurers takes place on December 10th 2018. If your firm is in...

    Read More

    Your All-Important MiFID II Research Checks

    The all-important MiFID II research checks start with the establishment of research payment accounts with the agreement of clients. If such accounts a...

    Read More

    Have You Done Your Research on Research Costs?

    MiFID II requires investment firms to demonstrate compliance with a wide range of new measures, building on the original MiFID from 2007.

    Read More

    How To Prevent SM&CR Training Damaging Staff Motivation

    "Are We All Senior Managers Now?" The focus of financial services firms of all sizes during 2018 will turn to the FCA and its intentions regarding the...

    Read More

    Don't let MiFID II spoil the party

    With just 2 weeks left to go until the MiFID II January deadline, financial firms are working flat out to ensure they're ready for the new rules. But,...

    Read More

    5 things you should be doing to put customer needs first

    The Financial Conduct Authority (FCA) has criticised Lloyds Bank Group and issued a £28m fine after hearing evidence about its incentive scheme, which...

    Read More

    MiFID II - Threat or Opportunity?

    Which side of the debate are you on? Is MiFID II a threat or an opportunity...

    Read More

    Suitability tests and MiFID II

    According to figures released by the Financial Conduct Authority (FCA), over £27bn has been paid out already to those who were missold PPI, with an es...

    Read More

    5 steps you should take to prepare for Direct Electronic Access

    Where market members give customers direct electronic access, enabling them to enter orders into their trading system for execution using their tradin...

    Read More

    5 Essential Controls for High Frequency Algorithmic Trading

    How much do you know about HFAT? Disruptive trends like High Frequency Algorithmic Trading (HFAT) and machine learning are transforming financial serv...

    Read More

    5 ways to get back on track for MiFID II

    Research by Rsrchxchange has found that:

    Read More

    10 things you should do to protect yourself from insider trading

    UK's financial regulatory body clamps down on insider trading The Financial Conduct Authority's (FCA's) clampdown on insider trading is gaining pace, ...

    Read More

    6 top tips to put clients at the heart of your business

    According to figures released by the Financial Conduct Authority (FCA), more than £27bn has been paid out already to those who were missold PPI.

    Read More

    Firms get APA status for MiFID II

    Firms given APA status get ready for MiFID II. Are you? A number of firms have been granted APA status by the Financial Conduct Authority (FCA) in rea...

    Read More

    Addressing MiFID reforms on investment research

    Is this the end of the investment research analyst? When MiFID II took effect on January 3rd 2018,  it became increasingly clearer how firms plan on t...

    Read More

    5 steps to ensure compliance with MiFID's data retention rules

    Is your firm ready for MiFID's data retention rules? As the implementation of  the Markets in Financial Instruments Directive (MiFID) II draws closer,...

    Read More

    SMCR 3-Step Training Roadmap

    Our 3-step training roadmap to get your firm SMCR ready: Step 1: Start with a short 3-minute video "Are you aware of SMCR?" to engage with all your Co...

    Read More