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
2021 Compliance Testing Survey: New SEC Marketing Rule Now Top Compliance Concern
Implementing the SEC’s new Marketing Rule for Investment Advisers is the number one worry for investment adviser compliance officers, according to the 2021 Investment Adviser Compliance Testing Survey. Advisory firms have until November 4, 2022 to come into full compliance with the rule.
- Compliance
- SEC Marketing Rule
China Passes Data Privacy Law That Affects Chinese and Foreign Companies
The Personal Information Protection Law of the People's Republic of China is scheduled to go into effect on November 1, 2021. This new law affects all companies and other entities, both inside and outside of China, engaged with personal information about individuals residing in China.
- Privacy
- Cybersecurity
Recent Institutional RFP Mandates Requiring GIPS Compliance of Alternative Investment Managers and OCIOs
Each quarter, we provide our feedback on recent institutional mandates related to compliance with the Global Investment Performance Standards (GIPS®); how those mandates ask about the calculation and presentation of performance; and insight into the demand for compliance with the GIPS standards and how that demand is evolving over time.
- Performance
ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends
ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.
- Compliance
- ComplianceAlpha
- ESG
- GIPS Standards
- RegTech
- Cybersecurity
- Performance
- Privacy
SEC Sanctions Registered Investment Advisers and Broker-Dealers for Cybersecurity Failures
The SEC announced that it sanctioned eight firms for failure to establish and implement cybersecurity policies and procedures. These failures resulted in multiple instances of criminal email account takeovers causing personally identifiable information from thousands of customers and clients to be exposed.
- Cybersecurity
- Compliance
Key Takeaways from 1LoD’s Resilience, Cyber, and 3rd Party Risk Deep Dive Report
Industry analyst 1LoD recently hosted a two-day Deep Dive on operational resilience, cybersecurity, and third-party risk. Attendees represented financial institutions (75%), technology firms (13%), consultancies (11%), and regulators (1%) from around the world. Speakers featured experts in resilience and cybersecurity, including ACA Aponix® Partner Michael Pappacena. We recommend downloading the full report to get a sense for what your peers are doing, how your firm compares, what regulators expect, and what you need to do to build a stronger operational resilience program.
- Cybersecurity