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
Mastering Digital Communications Governance: Common Questions Answered
Communications surveillance has emerged as a critical area for asset managers to ensure compliance.
- RegTech
- ComplianceAlpha
- eComms Surveillance
Key Takeaways from PRI in Person 2024
The PRI in Person event in Toronto spotlighted key responsible investment themes: integrating climate risks into financial decisions, advancing standardized ESG reporting, and addressing human rights in sustainable development.
- ESG
ACA Group Acquires Financial Compliance Firm, FINOP Consulting
Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.
- ACA News
ACA/NSCP 2024 AI Benchmarking Survey Results
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
- Compliance
- Artificial Intelligence (AI)
Navigating U.S. After-Tax Performance: Best Practices in Tax-Managed Strategies
Tax management strategies provide significant benefits that are not always clear in a standard performance methodology, but performance metrics are essential to accurately assess the strategy’s effectiveness.
- Performance
The Semi-Transparent ETF Ecosystem
New ETF structures selectively disclose portfolio holdings information to the public on a schedule similar to traditional actively managed mutual funds while still striving to maintain market and NAV parity.
- Distribution