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
COVID-19 and SM&CR: FCA Issues New Guidance for Senior Managers
The FCA is maintaining a dedicated webpage detailing its expectations for solo-regulated firms during the COVID-19 pandemic, and guidance on the application of the Senior Managers and Certification Regime (“SM&CR”).
- Compliance
SEC Relief for Business Development Companies
On April 9, 2020, the SEC announced temporary, conditional relief until December 31, 2020, allowing business development companies flexibility to issue and sell senior securities, and invest alongside certain affiliates that would otherwise be prohibited by the Investment Company Act.
- Compliance
Regulation Best Interest Compliance Date Confirmed by the SEC
The SEC issued a public statement addressing the June 30, 2020 implementation deadline for Regulation Best Interest and Form CRS in light of the challenges raised by the COVID-19 pandemic.
- Compliance
Staying on Top of Data Privacy During the COVID-19 Pandemic
Technology and information security may not be as strong in work-from-home environments as in office settings, and the risk of exposure of sensitive information may be greater. Firms need to remain vigilant about data privacy to meet regulatory expectations and protect against breaches.
- Cybersecurity
- Privacy
- BCP
- COVID-19
2020 Vision: 10 Concerns for European firms over the coming months
At our recent UK conference, 'Regulatory Horizon 2020 | The Challenges Ahead', we captured 10 concerns for European firms (aside from Covid-19). This checklist remains relevant for firms prepared to look through the crisis to the eventual recovery ahead.
- Compliance
FINRA's Pandemic-Related Business Continuity Planning, Guidance, and Regulatory Relief
FINRA recently issued a regulatory notice reminding firms that they should review their pandemic-related business continuity planning. This review should include assessing whether their business continuity plans (“BCPs”) are flexible enough to address the impact of potential pandemic-related situations to their businesses.
- Compliance