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
FCA Market Watch 66 – Communications Recording Remains a Focus as Employees Continue to Work From Home
In its Market Watch 66, the FCA reminds firms around of their obligations to record telephone conversations and electronic communications - regardless of COVID-19 induced work environments. We examine considerations and requirements for firms.
- Compliance
- FCA
Hedge Fund Update: News You May Have Missed
In this edition of ACA's Hedge Fund Update, we discuss who the new SEC Chair may be, recent risk alerts, enforcement actions, and more.
- Compliance
Regulators Probe Firms’ Exposure Following SolarWinds Hack
Regulators have taken steps to probe companies’ levels of exposure to the SolarWinds hack. Learn what information and actions have been requested so far.
- Cybersecurity
SEC Adopts New Marketing Rule for Investment Advisers
The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).
- Compliance
- SEC Marketing Rule
Q1 2021 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. We summarized the regulatory filing submission deadlines for the first quarter of 2021.
- Compliance
Short-Selling: Potential Dual-Reporting Requirement for Dual-Listed UK/EU Shares
From the end of the Brexit transition period on 1 January 2021, the UK became a ‘third country’ when reporting to EU regulators under the EU Short Selling Regulation. Following updates from ESMA, firms may now be subject to a dual-reporting requirement.
- Compliance