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
Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
- ACA News
- Artificial Intelligence (AI)
- Compliance
New AML/CFT Regulations for U.S. Investment Advisers: What You Need to Know
Download our cheat sheet to better understand new AML regulatory obligations for investment advisers and how to meet them.
- AML and Financial Crime
ACA Named Best ETF Distributor for Consecutive Year at 2024 ETF Express US Awards
ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.
- ACA News
- Distribution
White Paper: SEC Marketing Rule, GIPS Standards, and FINRA RN 20-21 - What Sets Them Apart?
A practical guide to navigating key compliance standards for financial marketing.
- Performance
- SEC Marketing Rule
- GIPS Standards
New SEC Rule on Short Selling: Key Filing Requirements and Deadlines for Form SHO
The SEC's new Rule 13f-2 requires institutional investment managers to file Form SHO starting January 2, 2025.
- SEC
- Compliance
- Regulatory Deadlines
SEC Enforcement Action for Incomplete Cyber Incident Disclosures
The SEC recently charged four companies for insufficient disclosures related to cyber incidents alleging they did not fully communicate the nature and impact of the cyber breach.
- Cybersecurity