Regulatory and Compliance Training

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Duff & Phelps provides training to a wide range of firms such as hedge fund managers, retail wealth managers, private equity firms, brokers and corporate finance advisors.

The FCA requires all firms to recruit staff who have the necessary skills, knowledge and expertise to undertake the role that is allocated to them. In addition, the FCA expects firms to make sure that all employees are aware of the internal procedures of the firm. As part of their systems and controls, firms therefore need to train staff on a regular basis to keep their knowledge up to date. This is in addition to the more detailed Training and Competence rules where firms conduct business with retail customers.

In addition to this, staff need to be trained in Anti-Money Laundering and Market Abuse and part of the legal or regulatory requirements.

Duff & Phelps has an experienced team, working together with firms and compliance officers, to develop bespoke training seminars and packages that are relevant for your business models, and which addresses the risks to which you are exposed. We pitch the training at the appropriate level, depending on whether there is a mixed audience or distinct levels of experience or seniority.

In addition, tests can be developed for staff, to enable firms to demonstrate the effectiveness of their training. Duff & Phelps also provides training to prospective compliance personnel to assist in the application to the FCA in respect of their approved status.

We are able to cover a wide range of regulatory topics, including:

  • Financial crime, incorporating market abuse, anti-money laundering, Bribery Act and fraud
  • Senior management arrangements, systems and controls, including conflicts, data security, business continuity, apportionment of responsibilities and outsourcing
  • Conduct of business, covering PA dealing, inducements, client categorization, dealing and managing rules, financial promotions
  • Reporting under GABRIEL and COREP
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