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
Is It Time to Reset Your Password Reset Policy?
Many authorities are questioning whether mandatory password reset policies are worth the hassle. Get ACA's guidance on when, if ever, you can remove or relax your password reset policy.
- Cybersecurity
FINRA Guidance for Retail Communications Concerning Private Placement Offerings
FINRA issued Regulatory Notice 20-21 on July 1, 2020 providing guidance for complying with FINRA Rule 2210 “when creating, reviewing, approving, distributing, or using” retail communications concerning private placement offerings.
- Compliance
The CCO's Guide to the GIPS Standards: Essentials for Understanding and Mitigating Risk
As adoption of the GIPS standards has grown over the years, ACA has seen compliance personnel take a much deeper interest in ensuring their firms meet every requirement.
- Performance
Third-Party Risk Management: Collaborating for Results
Running vendor management or third-party risk management (TPRM) programs can be a complicated process for both consumers and providers of services. Here are some of the current challenges with due diligence and opportunities to improve the process for all parties involved.
- Cybersecurity
Critical Vulnerability Identified in Windows Servers
The U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency (CISA) has issued an alert identifying a critical vulnerability affecting all versions of Microsoft® Windows Server® configured with the Domain Name System (DNS) role enabled. The vulnerability could potentially allow a remote attacker to gain control of affected systems.
- Cybersecurity
New Focus on Senior Manager Responsibility for Regulatory Reporting
Regulators are placing increasing importance on senior managers taking personal responsibility and accountability for regulatory reporting under SM&CR. We examine what this means for firms in scope of the MiFIR, EMIR or SFTR reporting regime.
- Trade & Transaction