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
RQC Group - ALTALLO Digest
35 articles
Technology
Regulation
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
Other
RQC Group: AI is now a governance issue, not just a technology initiative.
RQC Group: On 15 June 2026, the NFA introduced practical amendments to Compliance Rule 2-52 and Interpretive Notice 9082, reshaping who can r...
Compliance & Regulatory
RQC Group: Our Q2 2026 LinkedIn Quarterly Round‑Up is now live.
RQC Group: Big changes ahead for UK asset management regulation.
RQC Group: On June 5, 2026, the SEC took action against Western Asset Management, highlighting a critical compliance failure around trade all...
RQC Group: The FCA’s latest consultation, CP26/24 published 2 July 2026 signals a clear shift towards a more consistent and practical disclos...
RQC Group: The FCA’s latest Consumer Duty consultation is a welcome development for regulated firms.
RQC Group: Our July 2026 Regulatory Newsletter is out, highlighting the key developments, enforcement actions and emerging themes shaping the...
RQC Group: A big thank you to everyone who joined us yesterday at Flemings Mayfair Hotel for our latest Fund Manager Briefing.
RQC Group: The SEC’s Division of Enforcement is signalling a clear “back to basics” shift, prioritising high‑impact cases, meaningful investo...
RQC Group: Last night we had the pleasure of hosting clients and colleagues for RQC Group's annual Summer Drinks event.
RQC Group: 🏆 We're delighted to share that RQC Group has been named Compliance & Regulatory Adviser at the 2026 Drawdown Awards!
RQC Group: With the FCA’s new Non-Financial Misconduct ('NFM') requirements taking effect on 1 September 2026, we've updated our SMCR e-Learn...
RQC Group: The June edition of The Alternative Investor is out.
RQC Group: Recent updates from the FCA and HM Treasury point to a clear shift in direction for the UK regulatory landscape.
RQC Group: RQC Group were delighted to co‑host our latest Breakfast Briefing with Katten Muchin Rosenman LLP on Wednesday morning: Culture Un...
RQC Group: Our June 2026 Regulatory Newsletter is out!
RQC Group: Thanks to Ant Bennett and Matthew Raver for sharing their insights following their session at AIMA's Next Generation Manager Forum...
RQC Group: The SEC’s latest enforcement report signals a clear shift in focus, moving away from headline-grabbing penalties towards meaningfu...
RQC Group: The FCA’s PS26/7 Policy Statement clarifies how distributed ledger technology can be used within the existing regulatory framework for funds, recognizing on-chain fund registers
Tags: Asset Management, FCA, Tokenisation, DLT
RQC Group: Our April 2026 Regulatory Newsletter is live.
RQC Group: The SEC has released new interpretive guidance on how federal securities laws apply to crypto assets, effective 23 March 2026, with the CFTC formally joining and aligning its approach. This is the most comprehensive joint clarification issued to date.
RQC Group: On April 7, 2026, the SEC released its FY 2025 enforcement results, highlighting cases that protect investors and market integrity, including actions addressing fraud, market manipulation, insider trading, and adviser misconduct.
RQC Group: The SEC’s first comprehensive update to its Enforcement Manual in nearly a decade represents more than procedural housekeeping - it signals a strategic shift in how the regulator expects investigations to be conducted going forward.
RQC Group: The CFTC and SEC have signed a significant new Memorandum of Understanding ("MOU") aimed at strengthening cross‑agency coordination and reducing long‑standing regulatory duplication across jointly overseen markets.
RQC Group: RQC Group's Camilla Cater and Matthew Raver are heading to AIMA's Global Policy & Regulatory Forum 2026 in Dublin
Tags: Events, AIMA
RQC Group: Our new Introductory and Comprehensive Cyber Security courses have been completely rebuilt from the ground up
Tags: Cybersecurity, Training
RQC Group: AI, Governance and Compliance
Tags: Regulatory, Compliance, Technology
RQC Group: Last Friday, the FCA unveiled proposals to update the MiFIR transaction reporting regime.
Tags: Compliance, FCA, Regulation
RQC Group: RQC October Newsletter - Regulatory Developments
Tags: Regulatory, Compliance
RQC Group: FCA Consultation Paper CP25/36: Updates to Client Categorisation
Tags: Compliance, FCA, Regulation
RQC Group: CFTC Issues Targeted No-Action Relief for Certain SEC-Registered Advisers.
Tags: Compliance, CFTC, Regulation