Continuing professional education for approved compliance officers and compliance staff and recognition process for training institutions

The FSMA has published two new Communications. These are addressed to the various parties concerned by the mandatory continuing professional education for compliance officers: compliance officers, compliance staff at regulated firms, other persons who have passed the compliance officers’ exam, and training institutions.

These Communications contain information for the above persons and entities about the scope of the obligation to undertake continuing professional education and about the recognition process for training institutions. These Communications replace Communication FSMA_2018_05 of 8/05/2018.