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
Key Takeaways from 1LoD’s Trade Surveillance Deep Dive Report 2021
Industry analyst 1LoD recently hosted a two-day Deep Dive on the future of trade surveillance. Attendees were from all over the globe and represented financial institutions (78%), technology firms (19%), and regulators (2%). ACA’s Michael Lehman, Partner and product manager for ACA’s Market Abuse Surveillance technology in ComplianceAlpha®, spoke at the event.
- RegTech
- Trade Surveillance
FCA Publishes Consultation on Climate-Related Financial Disclosure
Ahead of COP26 in November 2021, the FCA has published consultation paper (CP 21/17) on the implementation of mandatory TCFD disclosures. For many firms, data gathering requirements start from 1 January. We outline the considerations for firms in scope.
- ESG
- Compliance
- FCA
Peer Analysis Infographic | MIFIR Transaction Reporting: Perception vs. Reality
When it comes to MiFIR Transaction reporting how confident are you? Or more importantly, how confident should you be? Our peer analysis infographic reveals worrying results that suggest that most firms still have a long way to go
- Compliance
- Trade & Transaction
- Managed Services
How Does Recent Guidance on Principal and Cross Trades Apply to Real Estate and Private Equity Advisers?
On July 21, 2021, the Division of Examinations released the "Cross Trade Risk Alert". Although this risk alert is focused on fixed income investments, what can real estate and private equity managers, including those that do not invest in fixed income instruments, learn from this risk alert and other SEC staff activities related to principal and cross trades?
- Compliance
SEC Charges RIAs + Broker-Dealer Firms for Failure to File + Deliver Form CRS
The SEC announced that 27 firms violated the Investment Advisers Act of 1940 and the Exchange Act, failing to file and deliver customer relationship summaries to their retail investors in a timely manner.
- SEC
- Distribution
- Compliance
FCA Clears the Way for Potentially Greater UK SPAC Issuance
With a growing European SPACs market and the UK's goal to make London more attractive to compete with other markets around the world, we outline key considerations for firms ahead of new SPACs listing rules coming into force on 10 August in the UK
- Compliance
- Brexit
- Managed Services