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
What Investment Advisers Need to Know about the SEC's Recent Insider Trading Case Focused on "Shadow Trading"
The SEC recently charged a former employee of a biopharmaceutical company with "shadow trading", a form of insider trading. Learn more about this case, compliance implications, and our advice on what advisers can do to protect themselves.
- ComplianceAlpha
- Compliance
- Trade Surveillance
- RegTech
August 2021 Broker-Dealer Newsletter
In our latest newsletter, we highlight important regulatory information for broker-dealers that occurred during Q1 and Q2.
- Compliance
ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels
ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.
- Compliance
Compliance Annual Testing Mandate: Tactics and Considerations
As we look toward a new year, it is important to start developing a testing plan that fits the specific needs of your firm. Given the unpredictability of 2020 and 2021, deciding your compliance testing schedule for 2022 requires exceptional preparedness.
- Compliance
SEC Issues $1M Fine for Failure to Disclose Breach Information
The SEC recently fined a company for providing misleading information about a breach it suffered. This fine serves a warning for companies to not only protect themselves against cyber incidents, but to fully disclose information about cyberattacks if they occur.
- Cybersecurity
Preparing for 2022: Compliance Budget Considerations, Priorities, and Helpful Tips
As we enter the second half of 2021, it’s time to start preparing for 2022 and establishing a compliance budget for the upcoming year. To help firms planning for their 2022 fiscal year budget, or those adjusting spend to tackle new initiatives, get started, we have gathered from compliance professionals tips that will explain the foundational needs of a compliance budget, how that looks in action, and how to prepare for the unexpected.
- Compliance