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
New SEC Short Selling Rules: Key Filing Requirements and Deadlines for Form SHO
Learn about the new SEC short selling filing rule for Form SHO, including requirements and deadlines. Understand how managers can ensure compliance
- SEC
- Compliance
- Regulatory Deadlines
SEC Enforcement Action for Incomplete Cyber Incident Disclosures
The SEC recently charged four companies for insufficient disclosures related to cyber incidents alleging they did not fully communicate the nature and impact of the cyber breach.
- Cybersecurity
Outsourcing Regulatory Filings: A Strategic Advantage for Investment Managers
Regulatory filings can often be both time-consuming and resource-intensive. Outsourcing the filing process can provide many benefits
- Regulatory Deadlines
Mastering Employee Compliance: Key Strategies for CCOs
Key strategies can help you effectively manage employee compliance, foster a culture of adherence, and support the organization's overall success.
- Compliance
- ComplianceAlpha
Former SEC Leader Robert Baker Joins ACA Group's Tech-Enabled Mock Examination Team
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
- ACA News
Automating Success: How Tech-Driven Compliance Becomes A Competitive Differentiator
By automating routine tasks and consolidating data, RegTech can enable compliance teams to focus on what really matters.
- RegTech
- ComplianceAlpha
- AML and Financial Crime
- eComms Surveillance
- Trade Surveillance