Compliance Training in Europe
Whether someone is new to your team, or you need to ensure that you or your existing team members have sufficient knowledge and understanding to comply with current regulations, we offer a wide range of ACA financial compliance training courses in the UK and Europe, designed to help you and your firm understand the regulatory framework and apply compliance.
Tailored In-House Training
Our tailored training is ideal for larger groups or if you have specific topics to be briefed on, or complex scheduling and timing for busy teams in different jurisdictions. Check out our menu of tailored training topics and options here or speak to us about how our virtual and interactive courses can be customised to meet your learning objectives and the content developed to meet your specific requirements.
Latest insights
ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends
ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.
- Compliance
- ComplianceAlpha
- ESG
- GIPS Standards
- RegTech
- Cybersecurity
- Performance
- Privacy
SEC Sanctions Registered Investment Advisers and Broker-Dealers for Cybersecurity Failures
The SEC announced that it sanctioned eight firms for failure to establish and implement cybersecurity policies and procedures. These failures resulted in multiple instances of criminal email account takeovers causing personally identifiable information from thousands of customers and clients to be exposed.
- Cybersecurity
- Compliance
Key Takeaways from 1LoD’s Resilience, Cyber, and 3rd Party Risk Deep Dive Report
Industry analyst 1LoD recently hosted a two-day Deep Dive on operational resilience, cybersecurity, and third-party risk. Attendees represented financial institutions (75%), technology firms (13%), consultancies (11%), and regulators (1%) from around the world. Speakers featured experts in resilience and cybersecurity, including ACA Aponix® Partner Michael Pappacena. We recommend downloading the full report to get a sense for what your peers are doing, how your firm compares, what regulators expect, and what you need to do to build a stronger operational resilience program.
- Cybersecurity
What Investment Advisers Need to Know about the SEC's Recent Insider Trading Case Focused on "Shadow Trading"
The SEC recently charged a former employee of a biopharmaceutical company with "shadow trading", a form of insider trading. Learn more about this case, compliance implications, and our advice on what advisers can do to protect themselves.
- ComplianceAlpha
- Compliance
- Trade Surveillance
- RegTech
August 2021 Broker-Dealer Newsletter
In our latest newsletter, we highlight important regulatory information for broker-dealers that occurred during Q1 and Q2.
- Compliance
ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels
ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.
- Compliance