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
Introducing the PortCo Defend™ Portfolio Risk Management Solution
We’re excited to announce ACA Aponix®'s Portfolio Company Risk Management and Monitoring solution, PortCo Defend™, a cybersecurity program and dashboard designed to help private equity firms assess and centrally monitor security threats and risks for their investment portfolio companies (PortCos).
- Cybersecurity
- Portfolio Company Risk Management
SEC No-Action Letter: ATS Role in the Settlement of Digital Asset Security
The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.
- Compliance
Increase Employee Compliance with ACA's Political Contributions Monitoring in ComplianceAlpha
This new feature is designed to provide an efficient and cost-effective solution for identifying and investigating potential conflicts of interest while meeting your firm's regulatory obligations under relevant pay-to-play regulations.
- RegTech
- RiskMutation
OCC Announces Civil Money Penalty for Vendor Management Control Deficiencies
The Office of the Comptroller of the Currency recently assessed a $60 million civil money penalty for a bank's failure to exercise proper oversight of the 2016 decommissioning of two U.S. wealth management business data centers.
- Bank Asset Management
MAR Review: ESMA Publishes Report on Reforms to Market Abuse Regime
The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.
- Compliance
Next Generation Compliance: Unified Data and Integrated Dashboards
Risk and compliance officers today are faced with an unprecedented level of complexity and change.
- RegTech
- RiskMutation