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
ACA Compliance Group Adds Payment and Fraud Risk Assessment Service
Our payment and fraud risk assessment offering is designed to help firms identify and remediate vulnerabilities within payment flows in order to reduce the risk of costly fraud issues. Learn how we can help your firm.
- ACA News
Payment Fraud: Understanding the Risks and Protecting Yourself and Firm
Payment fraud threats are a major concern for financial services firms globally, with fraud trends reflecting a continued and sustained growth over the past few years. It has become essential that firms are proactive in predicting and assessing their exposure to these threats in order to mitigate the likelihood and impact of a payment fraud incident.
- Cybersecurity
Managing Expanding Compliance Expectations With Limited Resources
While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.
- Compliance
Summary of FINRA's Regulatory Actions in 2019
FINRA's Enforcement Division brought 108 enforcement actions and levied fines against member firms that totaled $57,981,625 in 2019. These numbers mark a significant decrease in the enforcement actions and total fines from 2018.
- Compliance
ACA Compliance Group Adds Insider Trading and Market Abuse Surveillance for Personal Trading Data in ComplianceAlpha
New insider trading and market abuse rules in ComplianceAlpha's Employee Compliance solution allow firms to monitor their employees' trading activity for potential insider trading, market abuse, and other misconduct.
- ACA News
Introducing Insider Trading and Market Abuse Surveillance for Personal Trading Data in ComplianceAlpha
Clients of ACA’s Employee Compliance solution in ComplianceAlpha® can now receive Items of Interest (IOI) for potential insider trading and market abuse related to employees’ personal trading activity.
- RegTech