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
SEC Charges Broker-Dealers with Filing Deficient Suspicious Activity Reports
The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.
- Compliance
- SEC
- AML and Financial Crime
Jody Kochansky Joins ACA to Lead Product and Engineering
Jody Kochansky Joins ACA to Lead Product and Engineering
- ACA News
What to Know About ETF Distribution
Before your fund enters the marketplace, you will need a distribution plan. This article provides distribution considerations.
- Distribution
Critical Vulnerabilities in Virtual Environments Using VMware vCenter Server
These vulnerabilities serve as a potential gateway to exploit not only the targeted vCenter instances, but also the broader networks and systems they manage.
- Cybersecurity
Critical WordPress Vulnerability Puts Websites at Risk
A critical security vulnerability was discovered in a WordPress plugin that allows attackers to enter the platform without credentials.
- Cybersecurity
Mutual Fund to ETF Conversions
In response to investor interest in the ETF vehicle, firms are rolling their existing assets from another product into an ETF.
- Distribution