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.
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.
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.
Keep up to date with the latest regulatory news in the UK and US
The year is 1997. An investment firm has a new intake of staff – graduate trainees, investment professionals, operations specialists, back-office workers. A memo goes round. The new staff members are required to attend a compliance training course.
A particular aspect of the UK regulatory environment is that financial institutions can be classified in a number of different ways. For example, it’s possible for a firm to be classified as an FCA-regulated firm, an investment firm, a portfolio manager, a small CASS firm and an ‘IPFRU’ firm – amongst others!
Welcome to our Q1, 2020 newsletter - part of a series that aims to provide a quarterly update of key regulatory issues affecting the UK/EU and the US.
After a considerable delay, a timetable for the implementation of the reporting obligations relating to the Securities Financing Transactions Regulation (“SFTR”) has now been finalised.
The Hedge Fund Journal