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
Significant Proposals for Cybersecurity Risk Rules in the Financial Industry
The SEC recently voted to propose new rules to address cybersecurity risk management for registered investment advisers and investment companies. These proposed rules address multiple concerns related to cybersecurity risks to investment advisors, clients of investment advisors, private funds, and investors of private funds.
- Cybersecurity
Lifting the Lid on the Systematic Trading: The Most Common Compliance Pitfalls
Navigating the matrix-like world of algorithmic trading is a complex task for compliance officers at SEC and FCA registered firms. Poor management results in adverse impacts for investors, losses or reputational damage. We reveal common compliance errors and provide guidance on how to rectify them.
- Compliance
Private Markets Quarterly Update 2021 Q4
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
- Compliance
NFA Announces Extension of Relief from On-site Branch Inspections
The NFA issued a Notice to Members on February 1, 2022, extending relief from performing on-site annual branch office inspections.
- Compliance
Cyber Insurance: Top Five Trends for 2022
The first blog post in a multi-part series on cybersecurity insurance produced by ACA Aponix’s Thought Leadership Team. The objective of this series is to provide clients with the highest quality insights and expertise on the changing and evolving cyber insurance marketplace.
- Cybersecurity
- Cybersecurity Resources
SEC’s Examination Division Shares Observations Relating to Common Deficiencies Uncovered in Private Fund Manager Examinations
On January 27, 2022, the SEC’s Division of Examinations (EXAMS) shared observations relating to common deficiencies uncovered in the examination of private fund advisers over a five-year period. These observations are a sequel to, and supplement, the observations EXAMS shared in their June 2020 risk alert. In our in-depth analysis, we cover what firms need to know about this risk alert.
- Compliance