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
Regulatory Cyber Alert: SEC’s OCIE Issues Risk Alert on Data Storage Security
On May 23, the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding the security associated with cloud and network data storage solutions.
- Cybersecurity
White Paper: 2019 Liquidity Risk Management Program Rule Survey Results
ACA Compliance Group is pleased to present their newest survey results in the form of a white paper, 2019 Liquidity Risk Management Program Rule Survey Results.
- Compliance
Mirabella’s Response to the FCA’s review of principal firms in the investment sector
The FCA recently published the conclusions of its review of principal firms in the investment management sector. We examine the relevance of the findings and outline how the FCA rated Mirabella in the review.
- Compliance
Regulatory Cyber Alert: SEC Conducting Cyber Compliance Examination Sweep of Registered Investment Advisers (RIAs)
The U.S. Securities and Exchange Commission (SEC) has commenced a series of cybersecurity examinations on registered investment advisers (RIAs) which targets Form ADV data related to cloud service providers.
- Cybersecurity
FINRA Provides Guidance Regarding Suspicious Activity Monitoring and Reporting Obligations
FINRA recently issued Regulation Notice 19-18 (the “Notice”), which provided guidance to member firms regarding their monitoring obligations with respect to suspicious activity pursuant to the Bank Secrecy Act (“BSA”) and anti-money laundering (“AML”) requirements.
- Compliance
How to Remove the Pain from Vendor Due Diligence
Third-party risk management can be painful, time-consuming, and expensive. Get the pain-free solution to effective vendor due diligence in our latest blog post.
- Cybersecurity