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
The 2022 Ransomware White Paper
A guide that addresses what you should know, and what you should do to protect your firm, your clients, and your finances.
- Cybersecurity
- Cybersecurity Resources
2022 Broker-Dealer Regulatory Filings Calendar
We've put together a printable calendar with key FINRA regulatory filing deadlines in addition to national holidays at a glance.
- Compliance
New Public Disclosure Obligations Under the IFPR: What, When and How?
On 26 November 2021, the FCA published its third and final Policy Statement, PS21/17, on the new Investment Firm Prudential Regime (IFPR), which subsequently came into force on 1 January 2022. The new prudential rules introduce more complex and onerous disclosure requirements for affected firms. Here we examine what these new obligations mean for MIFIDPRU firms.
- Compliance
SEC No-Action Letter Regarding Amended Rule 15c2-11
The SEC staff provided additional time for firms to comply with the amendments to Rule 15c2-11 in a no-action letter published in December, 2021.
- Compliance
FTC 'Safeguards Rule' Strengthens Data Security Requirements and Broadens the Scope of Financial Institutions Who Must Comply
FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions
- Cybersecurity
- Cybersecurity Resources
FCA Confirms Changes to MiFID II Rules on Research Plus an End to RTS 28 Reports on Best Execution
The FCA published Policy Statement PS 21/20 on Changes to UK MiFID’s conduct and organisational requirements on 30 November 2021, confirming the FCA’s proposals as set out in Consultation Paper CP 21/9.
- Compliance