PE/VC compliance Programs
Compliance built for PE & VC.
UK–US ready training on AML/CFT, Gifts & Entertainment, Whistleblowing, GenAI, Personal Account Dealing, Market Abuse/Insider Dealing, Political Donations/Pay-to-Play, and SMCR customised to your fund, LP relationships, and portfolio-company reality.
Courses included in Private Equity and Venture Capital Suite
Anti-Money Laundering (AML/CFT) - UK & US
KYC essentials explained: CIP, CDD, ongoing monitoring
AML risk indicators, red flags, reporting pathways, and prevention controls
The money-laundering cycle with short PE/VC-relevant case studies
Regulatory anchors: UK MLR 2017, POCA; US BSA/AML, USA PATRIOT Act (with FinCEN/OFAC context)
Gifts, Entertainment & Hospitality - UK & US
Clear thresholds, approvals, and registers when “normal business” becomes a risk
What’s acceptable vs. unacceptable; how to decline and how to escalate
High-risk contexts and conflict checks
Regulatory anchors: UK Bribery Act (Adequate Procedures); US FCPA and books-and-records
Activity- and scenario-based practice on pre-clearance and reporting
Whistleblowing & Speak-Up - UK & US
What qualifies as whistleblowing; examples tailored to investment workflows
Safe channels (hotline/web/internal) and anti-retaliation: UK PIDA; US SOX/Dodd-Frank
What happens after a report: timelines, confidentiality, investigation steps.
Anonymous reporting do’s/don’ts and record-keeping for regulators and LPs
Responsible Use of Generative AI
What GenAI is, how it works, and its impact on research, memos, and ops
What not to input: MNPI, client data, trade secrets, third-party IP
Privacy & security basics (data residency, logs, retention), vendor/tool criteria
Emerging AI laws & “AI-washing” risks; usage logs and PE/VC scenarios for practice
Personal Account Dealing, Market Abuse & Insider Dealing - UK & US
Why PAD is a gateway risk to market abuse; required controls
Definitions: insider, inside information, insider dealing
Do’s and don’ts of personal trading; consequences of non-compliance
Regulatory anchors: UK MAR, FSMA; US Rule 10b-5/10b5-1 and tipping risks
Practical workflows: pre-clearance, watch/restricted lists, blackout windows
Political Donations & Pay-to-Play - UK & US
Corporate political giving, sponsorships, and events approvals and disclosures
US SEC Rule 206(4)-5 pay-to-play for advisers; state/local complexities
UK considerations and consequence management
SMCR for Senior Managers - UK
Statements of Responsibilities and the Duty of Responsibility
“Reasonable steps” in practice: governance, MI, delegation, and oversight evidence
Fitness & Propriety, regulatory references, breach reporting
Case studies tailored to PE/VC (GP, fund boards, portfolio oversight)
SMCR for Employees (Certification & Conduct Rules) - UK
Why the Certification Regime matters; Conduct Rules with practical scenarios
Who is in scope, annual certification, and Fitness & Propriety checks
Speaking up, reporting breaches, investigation flow, and remediation
Where to get help: Compliance/HR contact and support channels
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