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 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
European Union Court Strikes Down Key EU-U.S. Data Sharing Agreement
The Court of Justice of the European Union (CJEU) has determined that the Privacy Shield agreement, a key data sharing agreement that allows signatory U.S. companies to transfer EU resident personal data to the U.S., is no longer valid. Learn what action you may need to take due to this change.
- Cybersecurity
CCPA Enforcement leads to Multiple Class-Action Lawsuits
The California Consumer Privacy Act (CCPA) went into effect on 1/1/20 and enforcement began on 7/1/20. There has already been considerable activity on the class action front, much of it even before the enforcement date. Review what you need to do to avoid CCPA penalties.
- Cybersecurity
- Privacy
2020 Investment Management Compliance Testing Survey Results: BCP Related to COVID-19 Now Top Compliance Concern
From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.
- Compliance
- BCP
- COVID-19
ACA Compliance Group Secures $40 Million from Consortium of Existing Investors Led by Starr Investment Holdings
Governance, Risk, and Compliance Leader to Scale New Product Development and Drive Continued Focus on Customer Success
- ACA News
OCIE Risk Alert Warns of Increase in Ransomware Attacks
The SEC OCIE has issued a Risk Alert warning of an increase in the sophistication of ransomware attacks against SEC registrants with attackers using advanced phishing and other social engineering tactics to penetrate financial institution networks and install malware that limits company access to data until a ransom is paid.
- Cybersecurity