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
ComplianceAlpha® 2021Q2 Introduces New Features for Marketing Reviews, Legal Documents, eLearning, and More
ComplianceAlpha 2021Q2 includes new features and technology such as natural language processing (NLP) for marketing reviews and legal document tracking (side letters and NDAs), a new integrated eLearning solution, and more.
- RegTech
- ComplianceAlpha
ESMA final report recommends expansion of transaction reporting regime to AIFMS and UCITS Management Companies
ESMA has published a final report assessing the functioning of the Transaction Reporting regime under Article 26 of the Markets in Financial Instruments Regulation (“MiFIR”). Among a number of proposed changes perhaps the most impactful is the recommendation that UCITS management companies and AIFMs that are providing one or more MiFID services (i.e., Collective Portfolio Management or ‘CPMI’ firms) should be subject to transaction reporting
- Trade & Transaction
- Compliance
Q2 2021 Regulatory Reporting Deadlines
Here we summarize the regulatory filing submission deadlines occurring from April through June 2021.
- Compliance
- Regulatory Deadlines
SEC Increases Focus on Digital Assets
On February 26, 2021, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released a Risk Alert highlighting areas of concern found in its examinations of investment advisers and broker-dealers investing and dealing in digital assets that are securities. We believe that these recent Division observations highlight the SEC’s interest in Digital Asset Securities and are a precursor to additional scrutiny in these areas.
- Compliance
Urgent Update for Apple iOS
Apple has issued urgent updates for its iPhone, iPad, and iWatch devices. According to Apple, these updates patch a discovered “cross site scripting” vulnerability that allows bad actors to inject malicious code into web pages. The code could be enabled when users access these pages using browsers on Apple devices. This vulnerability may already have been exploited.
- Cybersecurity
New Marketing Rule - SEC Staff Confirms All or None Early Adoption Approach
The SEC issued an FAQ officially confirming what has been informally communicated by Division of Investment Management staff, which is that investment advisers may not implement the new Marketing Rule until they are prepared to comply with it in its entirety. Note that this includes both the rules around traditional advertisements and the new requirements for solicitation arrangements.
- SEC Marketing Rule