RQC Group: The FCA's latest review of asset managers and alternative firms found recurring weaknesses in financial crime frameworks.
Tags: Financial Crime, AML, FCA, Regulation
RQC Group - ALTALLO Digest
31 articles
Compliance
RQC Group: The SEC's latest Risk Alert highlights common failures in adviser annual compliance reviews, including delayed reviews and inadequate testing.
Tags: SEC, Compliance Review, Risk Management, Investment Advisers
RQC Group: We updated our suite of SMCR training courses to reflect the FCA's latest expectations on Non-Financial Misconduct.
Tags: SMCR, FCA, Non-Financial Misconduct, Training
RQC Group: Our refreshed Financial Crime e-Learning suite is now available to help you strengthen your firm's compliance culture.
Tags: Financial Crime, e-Learning, AML, Market Abuse
Crypto
RQC Group: From tomorrow, 30th September 2026, firms can apply for the new crypto asset permissions, including submitting a Variation of Permission (VoP).
Tags: FCA, Regulation, Compliance, Cryptoassets
Events
RQC Group: We hosted an end-of-summer golf social at The Leatherhead Club for a small group of our industry partners.
Tags: Networking, Industry partners, Social event
Technology
RQC Group: Our September issue of The Alternative Investor explores how AI is reshaping how firms operate, compete, and allocate capital.
Tags: AI, Alternative Investments, Regulation, Compliance
RQC Group: We have evolved our e-Learning platform to make accessing and managing our training easier and more flexible for clients.
Tags: e-learning, compliance training, regtech
Regulation
RQC Group: The SEC has proposed rescinding Rule 206(4)-5, citing concerns over its complexity and compliance costs.
Tags: SEC, Compliance, Regulation, Investment Management
RQC Group: We have successfully guided more than 500 firms through the FCA authorisation process, with a 100% approval rate.
Tags: FCA, Authorisation, Compliance, Financial Services
RQC Group: Our September 2026 Regulatory Newsletter is out, covering key developments from UK asset management reform to new SEC and CFTC rules.
Tags: Compliance, FCA, SEC, Newsletter
RQC Group: The SEC's recent charges against Adit Ventures highlight the continued regulatory focus on governance, transparency, and conflicts of interest.
Tags: SEC, Governance, Compliance, Conflicts of interest
Hiring
RQC Group: Meet Kate O’Connor, one of the newest analysts to join our team.
Tags: Team, Compliance, Financial Services, Hiring