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
ACA will Rest, Recharge, and Renew in July
At ACA, we recognize that the past year has been extremely challenging and trying for our employees. We also understand that our employees have whole lives, and that work is just one component of those lives. To this end, we are doing something we have never done before. We are providing employees with one week of paid time off to Rest, Recharge, and Renew.
- ACA News
GDPR: Expectations vs. Realities on the Regime’s Third Anniversary
The General Data Protection Regulation (GDPR) reached its third-year anniversary on 25 May 2021. Three years after implementation, we speak with Alex Scheinman, Managing Director, ACA Aponix, about the impact of the regulation, how the COVID-19 global pandemic, Brexit and Schrems II influence the regime, and where data privacy rules will head next.
- Compliance
- Cybersecurity
Exam Priorities Spotlight: Focus on Private Equity and Real Estate Advisers
How can private equity and real estate advisers best prepare for regulatory exams in 2021? While we provided an overview of the 2021 Examination Priorities of the U.S. Securities and Exchange Commission’s Division of Examinations, advisers should consider whether they are prepared to respond to inquiries in the following areas.
- Compliance
FINRA Addresses Customer Account Takeovers (ATOs); Firms Advised on Protection Tactics
The Financial Industry Regulatory Authority (FINRA) has issued a regulatory notice in response to a noticed increase in customer account takeovers (ATOs). During these ATOs, bad actors compromise account information, gain unlawful entry into customer online brokerage accounts, make fraudulent transactions, siphon out funds, and commit other crimes. Similarly, bad actors have increasingly been using simulated identities to open online accounts, and unlawfully access funds and data. FINRA’s regulatory notice summarizes the observations of 20 firms of various business models and sizes on the subject.
- Cybersecurity
Protecting the Enterprise Server: After the SolarWinds®/Microsoft® Exchange® Hacks
The SolarWinds breach and the Microsoft Exchange server breach are striking, both in the extent and the breadth of their damage. The damage is ongoing; as part of the attack pattern, backdoor malware designed to give the attackers persistent access to the compromised organizations has been planted for future criminal activity. The recent executive order on cybersecurity testifies to the severity of the problem and the need for a centralized, proactive response. Learn what patterns we have observed and the mitigating strategies we recommend.
- Cybersecurity
Brexit: What’s Next for Financial Services Firms?
The lack of significant Brexit rules currently governing financial services creates some confusion and challenges for firms. We've developed a free to download whitepaper that examines a range of scenarios for how firms with a UK- and EEA-based presence might structure their business in a post-Brexit world
- Brexit
- Compliance
- Mirabella