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
ACA's Celebration of Women's Impact from History to Herstory
ACA proudly joins the global celebration of International Women's History Month, commemorating the remarkable achievements and enduring legacies of women worldwide.
- ACA News
New Requirements for Broker-Dealer Execution Quality Reports
Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors
- Compliance
- Broker-Dealer
- SEC
SEC Quarterly Statement Rule Breakdown for Private Funds - Performance Disclosures
In the months since the release of the final rule, we continue to dig further into the practical implications of these required disclosures and the impacts on private fund managers’ current reporting structure.
- Private Fund
- Performance
- SEC
Common AML Schemes: Business Email Compromise
Business email compromise schemes can be used to facilitate money laundering by obtaining funds that can be used for illicit purposes.
- AML and Financial Crime
U.S. Regulatory Update – February 2024
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
- Compliance
- SEC
- FINRA
The FCA Proposes a New Approach to Publicise Investigations
The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.
- FCA
- Compliance