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
SEC to Investment Advisers: Cybersecurity Must Be a Comprehensive, Continually Evolving Program
This was the topic of discussion between the SEC’s Keith Cassidy, Head of the SEC’s Technology and Controls Program, and ACA Aponix® partner Mike Pappacena, during ACA’s spring conference. They discussed why the threat of a cyber-attack is so acute for investment advisers, how they can best protect themselves and their clients, and what the SEC expects from investment advisers’ cyber programs. Here are some highlights from their conversation.
- Cybersecurity
ACA Group Hires New Chief Commercial Officer Aimee Egan
ACA Group (ACA) today announced that Aimee Egan has joined the firm to lead all go-to-market functions (including Sales & Marketing) in a newly created role of Chief Commercial Officer. Aimee will join ACA’s executive leadership team and will oversee the execution of ACA’s growth plan.
- ACA News
Podcast: SFDR - What investors really think
Dani Williams, Senior Principal Consultant for our ESG Advisory Division discusses the immediate challenges the SFDR regulation brings, and what needs to be changed.
- ESG
Active Supply-Chain Ransomware Attack Against Kaseya VSA
Kaseya has warned of an active attack against a number of its customers using Kaseya’s VSA remote monitoring and management (RMM) platform. The attackers are using the platform to deliver REvil ransomware to systems, demanding $44,999 in funds to reclaim access to data.
- Cybersecurity
FinCEN Issues AML Priorities
FinCEN published its first government-wide priorities for AML on June 30, 2021. The priorities are intended to assist financial institutions in their efforts to meet obligations under regulations designed to combat money laundering and counter-terrorist financing.
- AML and Financial Crime
Majority of Firms in Breach of Transaction Reporting Requirements
Data from a Freedom of Information Request to the FCA has revealed that firms are either transaction reporting incorrectly or not adhering to the MiFIR requirement to monitor their reporting using submission data made available to them by the FCA.
- Compliance
- Trade & Transaction
- ACA News
- FCA