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
iOS Exploit Discovered
A security breach of Apple's iOS operating system that occurred over at least two years has affected countless iOS device users. Here's what you need to know to protect your personal information.
- Cybersecurity
Delivering on SM&CR – Do firms need to move faster?
Poll findings reveal that less than 2% of firms ready for the Senior Managers & Certification Regime, which comes into force in less than 100 days. It's clear that solo-regulated firms must accelerate the pace at which they are preparing for regulation ahead of 9 December implementation but is the work required ahead of the deadline being underestimated?
- Compliance
SEC Charges Investment Adviser in Connection with $105 Million Securities Fraud
On Tuesday, August 27, 2019, the U.S. Securities and Exchange Commission ("SEC") announced it had brought charges against an investment adviser in connection with a $105 million securities fraud in Pennsylvania.
- Performance
FlexTrade Partners with ACA Technology to Provide Data On-Demand for Trade Surveillance
ACA and FlexTrade have partnered to help their mutual clients manage their trade surveillance and compliance needs using ACA's trade surveillance technology and FlexNow.
- RegTech
- Trade Surveillance
FATF-Identified Jurisdictions with AML/CFT Deficiencies
The Financial Crimes Enforcement Network issued an advisory to remind financial institutions that updates the FATF made to their list of jurisdictions that have strategic AML/CFT deficiencies may affect their obligations with respect to these jurisdictions and that they should consider the impact these updates have on the institution’s risk-based approach.
- AML and Financial Crime
SEC Investigating Data Leak at First American
Real estate title insurance giant First American Financial Corp. is being investigated by the SEC for a data leak that exposed over 885 million personal records from as far back as 2003.
- Cybersecurity