Due Diligence FAQs
What topics related to compliance should be covered in training?
Training should be carried out on certain key topics on a regular basis and ad hoc training provided on an as need be basis. The topics may vary depending on the operations of the manager, but will typically cover matters related to anti-money laundering, conflicts of interest, market abuse and cybersecurity. If at least those are covered, this indicates an approach to compliance training that is in line with best practice. No training or very little training as well as no record of training should give rise to some concerns.
Still need help? Get in touch