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
Code of Ethics Concerns and Best Practices in Times of Market Volatility
With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.
- RegTech
- COVID-19
- Trade Surveillance
- Personal Account Dealing
SEC Fines U.S. Private Fund Manager $1 Million for Misrepresentation of Investment Performance and Marketing Violations
A recently settled enforcement action re-emphasizes the importance of issues highlighted in the SEC's 2017 Risk Alert related to Rule 206(4)-1 under the Advertising Rule.
- Performance
April 2020 Broker-Dealer Newsletter
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.
- Compliance
FinCEN Provides Relief and Guidance in Response to the COVID-19 Pandemic
On April 3, 2020, FinCEN finally issued relief to financial institutions experiencing challenges meeting certain compliance requirements during the COVID-19 pandemic. FinCEN and banking regulators like the OCC recognize there may be reasonable delays in complying with timing requirements for certain Bank Secrecy Act report filings.
- Compliance
How to Identify and Avoid COVID-19-Related Fraud
It is inspiring to see, hear, and read each day about the many acts of charity, kindness, sacrifice, thoughtfulness, and support that have come out of the COVID-19 pandemic. However, there are also fraudsters, scammers, bad actors, and criminals looking for opportunities to take advantage of the vulnerable and profit from illegal activities.
- Compliance
Vulnerability Discovered in Email App on iPhone and iPad
Learn how to protect yourself from the "zero-click” vulnerability discovered on Apple® iPhones® and iPads® that enables bad actors to hack into devices by sending specially crafted email.
- Cybersecurity