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
The FCA Business Plan 2019/20 and the Future of Financial Regulation in the UK
On 17 April, the FCA published its Business Plan for 2019/2020, setting out its key priorities and specific activities for the coming year. Read on for a summary of the areas of priority we believe will be of interest to firms in the wholesale arena, and a dissection of Mr Bailey’s vision.
- Compliance
Summary of FINRA Regulatory Actions 2018
The total dollar amount of fines in 2018 that the Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division ordered against its member firms increased slightly to $74 million from $68 million in 2017. While the total dollar amount increased nearly nine percent, the total number of fines decreased to 209 in 2018, compared to 318 in 2017. Both the number and dollar amount of fines assessed by FINRA have fallen significantly since 2014, as the charts below show. In 2014, FINRA fined broker-dealers a record amount of nearly $129 million dollars, roughly 10 percent greater than the total dollar amount assessed in 2017 and 2018 combined.
- Compliance
Six Steps to Analyzing an AML Program’s Efficiency and Effectiveness
Every anti-money laundering (AML) program should be reviewed periodically to confirm that the program is performing efficiently and effectively.
- AML and Financial Crime
Regulatory Changes with Compliance Implications for Exchange-Traded Funds
Several new regulatory requirements and developments should be evaluated by certain ETF sponsors and advisers regarding changes to the stock-exchange listing standards and Regulation M. This article summarizes these developments and their potential compliance program implications.
- Compliance
Transaction reporting: The beginning of the end or the end of the beginning?
Numerous firms who have undertaken complex, expensive and burdensome projects to build their reporting frameworks have mistaken the light at the end of the implementation tunnel as the end of the MiFID II challenge. Some firms are looking the wrong way down the tunnel, and others might well be watching the FCA enforcement train leaving the station.
- Compliance
- Trade & Transaction
ACA Aponix Launches Cost-Effective Cybersecurity Diligence Service for PE Investment Teams
Cyber incidents at portfolio companies can drastically diminish their investment value. To help PE investment teams mitigate cyber risks, we're excited to announce our cost-effective cybersecurity diligence service.
- Cybersecurity