Training and Competence

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Call for Input: The Planet Compliance RegTech Directory

 We are proud to present the PlanetCompliance RegTech Directory BETA, a light version of our upcoming publication! In the last couple weeks and months we have been conducting extensive research on the RegTech community. Based on this we have already published a series of articles on top companies in our seven RegTech categories. Now we …

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Call for input: The seven categories of RegTech

Call for input: The seven categories of RegTech or the attempt to categorise its players Fair warning! It probably is a futile attempt to provide another categorisation of RegTech firms and their activities. This for two reasons: Most RegTech firms don’t put all their eggs in one basket but combine their offering and aim to provide a …

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The Gamification of Compliance Training and how it could actually be great fun – Interview with Steve Brett, co-founder of E3 Compliance Training

Even when you have the right kind of culture in your firm and colleagues understand the importance of compliance, training is often considered boring and dull, a check-box exercise or a waste of precious time. However, training is a key aspect in a good compliance regime and should help protect a firm from harm in …

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The case for gamification in Compliance Training

Let’s face it; every year it’s the same drama when you as a compliance officer have to sit down your colleagues for another round of compliance training. Often considered boring and dull, a check-box exercise or a colossal waste of precious time, experiences range from staff enduring it stoically with little interaction (if delivered personally), …

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ESMA publishes Final Report on MiFID II guidelines for the assessment of knowledge and competence

The European Securities and Markets Authority (ESMA) has published today the Final Report on guidelines for the assessment of knowledge and competence. These guidelines are intended to enhance investor protection by increasing the knowledge and competence of natural persons giving investment advice or providing information about financial instruments, investment services or ancillary services to clients …

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