FCA Regulatory Training
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 compliance training, 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
SM&CR: The final countdown
In less than one month, the Senior Managers & Certification Regime (SM&CR comes into force. Many Solo-regulated firms may need to accelerate the pace at which they are preparing for regime. Download our five-point checklist to benchmark your readiness ahead of the 9 December 2019 deadline.
- Compliance
SEC Proposes Expansive Changes to Marketing and Advertising Rules
In an effort to ensure that the regulations applying to investment advisers remain relevant in the digital age, the staff of the SEC announced significant changes to the rules and guidance surrounding the marketing and advertising activities of registered investment advisers and the engagement of solicitors. Read our compliance alert to learn more.
- Compliance
- SEC Marketing Rule
Hong Kong SFC Issues New Guidelines on Electronic Data Storage
Learn more about the new guidelines on Electronic Data Storage issued by the Hong Kong SFC.
- Cybersecurity
ACA Compliance Group Enters into Strategic Partnership with AMG
ACA has entered into a strategic partnership with Affiliated Managers Group, Inc. (NYSE: AMG), a global asset management company with equity investments in leading boutique investment management firms. Through the partnership, ACA will make available to AMG and its Affiliates ACA’s top-tier advisory consulting services and technology solutions across a variety of focus areas including regulatory compliance, performance, cybersecurity, and anti-money laundering.
- Compliance
SEC Division of Enforcement Publishes 2019 Annual Report
Read our summary of notable findings from the SEC Enforcement Division's Annual Report covering FY 2019.
- Compliance
The 2020 U.S. Election is Here: How is Your Firm Monitoring Political Contributions and Government Relationships?
A heightened political climate increases political contributions and political activities that can violate pay-to-play rules and generate fines or even prohibit future business. Now is the time to review your firm's policies and procedures for monitoring employees' political contributions and government relationships.
- Compliance