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
FINRA Updates Advertising Regulation FAQs
FINRA recently updated its FAQs about FINRA 2210, its advertising regulation, to provide firms with revised guidance.
- Compliance
- Performance
ACA Group and Foreside Financial Services to Join Forces
ACA Group and Foreside Financial Services have combined their expertise to offer leading GRC solutions. Learn more about these two leading providers here.
- ACA News
FINRA Releases AML/CFT Priorities
FINRA issued Regulatory Notice 21-36 urging firms to consider how to incorporate the government-wide Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Priorities into their AML programs.
- Compliance
- AML and Financial Crime
FinCEN Issues Amended Advisory on Ransomware and Use of Financial System to Facilitate Ransom Payments
New FinCEN update on ransomware
- Cybersecurity
- Cybersecurity Resources
Ransomware 101 Part 3: How to Respond to a Ransomware Attack
Our Ransomware 101 blog series addresses multiple aspects of the ransomware issue, including what you should know and what you should do to protect your firm, your clients, and your finances. In part one, we discussed the evolving and growing threat of ransomware. In this article (part three), we’ll provide steps for responding to a ransomware attack.
- Cybersecurity
- Cybersecurity Resources
Registered Investment Company Initiatives Exam Observations
The U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert that provides observations from examinations conducted as part of the Division’s registered investment company initiatives.
- Compliance
- SEC