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
FBI Warns of Criminals Impersonating Advisers and Brokers
The FBI has warned of recent criminal activity in which threat actors impersonate investment advisers and brokers online.
- Cybersecurity
FINRA Warns of Additional Fake Emails
The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported additional phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of "gateway-finra[dot]org" is being used.
- Cybersecurity
The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation
With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline
- Compliance
- FCA
- Regulatory Deadlines
Celebrating Pride Month and Diversity at ACA
ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.
- ACA News
SEC Fines Registered Investment Adviser for Misrepresentation of Investment Performance and Marketing Violations
On June 3, 2021, the U.S. Securities and Exchange Commission (SEC) instituted a cease-and-desist order against a previously registered investment adviser for alleged violations.
- Performance
- SEC Marketing Rule
Q&A: Supporting the Evolution of the Industry
Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM.
- Mirabella
- Compliance
- Brexit