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 Announces 2021 Examination Priorities
On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.
- Compliance
- SEC
FINRA Warns of Fake Emails
The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported 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 supports @finra-online.com is being used.
- Cybersecurity
We Are Now ACA Group
This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.
- ACA News
NFA Warns of Fake Emails
The NFA issued a notice to members warning of reported phishing attempts using fake NFA credentials. The phishing campaign includes emails using a fake domain that mimics the NFA’s domain name.
- Cybersecurity
Microsoft® Exchange® Servers Suffer Multiple “Zero-Day” Attacks
Microsoft has reported that it has suffered four “zero-day” attacks targeting its on-premises email and calendaring Exchange Server products. The reported vulnerabilities apply to on-premises versions of Microsoft Exchange Server. Learn what steps to take to protect your firm.
- Cybersecurity
Five Reasons to Attend ACA Regulatory Horizon 2021 | Navigating Evolving Risks
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
- Compliance
- Mirabella
- Cybersecurity