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
Preventing Stormy Security Weather in Your Microsoft Office 365 Cloud Environment
Companies are relying increasingly on cloud service providers for conducting business, including storing data, hosting email, and more. But with the increasing regulatory focus on the risk of cloud data storage, is the forecast for cloud solutions stormy?
- Cybersecurity
Capital One Breach Affects 100 Million Customers
On July 29, Capital One Financial Corporation announced that it had suffered a breach on July 19. On that date, an outside individual illegally accessed the personally identifiable information of over 100 million of its customers.
- Cybersecurity
New York State's SHIELD Act Signed into Law
The SHIELD Act significantly expands New York State's breach notification law.
- Cybersecurity
OCIE Issues Risk Alert Highlighting Deficiencies in Compliance, Supervision, and Disclosure of Conflicts of Interest
The SEC's OCIE issued a Risk Alert detailing compliance issues noted during examinations of advisers who hire or employ individuals with a history of disciplinary events.
- Compliance
Investment Adviser Standard of Conduct and Form CRS – What You Need Know (Part 2 of 2)
On June 5, 2019, the U.S. Securities and Exchange Commission issued the Standard of Conduct for Investment Advisers interpretation to reaffirm and clarify the SEC’s views of the fiduciary duty that investment advisers owe to their clients under the Investment Advisers Act of 1940.
- Compliance
Mirabella Group Launches New Tied-Agent Service in Malta
Mirabella Group, the regulatory hosting arm of ACA Compliance Group, announced that it has enhanced its hosting services in Malta by adding a Tied Agent solution to its existing alternative investment fund manager (AIFM) service. This new solution helps non-European Economic Area (EEA) firms to interact with their EEA clients using MiFID passporting.
- Mirabella