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 Issues Conditional Temporary Exemption for Advisers Affected by Coronavirus (COVID-19)
On Friday, March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary exemption for firms affected by coronavirus (COVID-19) from certain regulatory filing deadlines or delivery requirements with respect to Form ADV and Form PF .
- Compliance
Cybersecurity is on the Regulators' Radar
ACA's Carlo di Florio recently shared his insights with FT Adviser on the need for firms to bolster their operational resilience in preparation for a potential disaster or other business disruption.
- Cybersecurity
ESMA lowers net short position reporting threshold to 0.1%
Responding to the serious adverse effects on the real economy and on EU financial markets posed by the COVID-19 pandemic, ESMA has announced it has temporarily lowered the threshold for net short position reporting to EU regulators to 0.1%.
- Compliance
How ACA is Responding to the COVID-19 Pandemic
The rapid spread of coronavirus (COVID-19) has already had a broad range of impacts, and the situation appears likely to grow more challenging in the weeks ahead.
- Compliance
Market Volatility - Important Regulatory Reminders
In light of the current COVID-19-induced market rollercoaster, firms are reminded of the MiFID II “10% rule”. This rule requires that firms providing portfolio management services to clients inform these clients if the overall value of their portfolio depreciates by 10% from the beginning of the last reporting period – and each 10% thereafter.
- Compliance
Pandemic Response and Business Continuity FAQs for Financial Services Firms
More restrictions are being put in place every day to contain coronavirus disease 2019 (COVID-19) that could affect your firm’s operations.
- Compliance