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
Roy Kim Joins ACA Compliance Group to Grow Banking Asset Management Practice
Roy Kim has joined ACA’s regulatory compliance team as Director of Banking Asset Management.
- Bank Asset Management
- ACA News
Compliance Culture: Building an Approach on Three Core Values
Most firms find “compliance culture” an important, yet elusive, term that is difficult to define and even more challenging to shape and nurture. However, it’s clear that a compliance culture sets the basis of behavior, integrity and accountability across an organization. But what are the core values that can help firms focus their overall efforts to build a compliance culture more effectively?
- Compliance
Midterm Elections Are Coming Up: How is Your Firm Monitoring Contributions and Government Relationships?
The midterm elections are a few short months away, and a number of recent administrative proceedings against both registered investment advisers and exempt reporting advisers by the U.S. Securities and Exchange Commission (“SEC”) should serve as a valuable reminder of the importance of actively monitoring for risks that exposure to government entities or political parties may present. Here are helpful insights and suggested action items to help advisers mitigate these risks.
- Compliance
Record Keeping: Putting it to the test – A Q&A with Charlotte Malin and Matthew Chapman
A key pillar of the MiFID II regime is the record keeping requirements that underpin many of the new or enhanced obligations. Now seven months after MiFID II implementation, what challenges have these requirements created for the buy-side? We discuss this with senior compliance consultants, Charlotte Malin and Matthew Chapman.
- Compliance
GIPS Standards Marketing Best Practices
The end result of a firm’s efforts when claiming compliance with the GIPS standards is the delivery of a fully compliant presentation to prospective clients. This article addresses best practices for marketing when claiming compliance with the GIPS standards.
- Performance
2018 Compliance Testing Survey: Cybersecurity Still Top Concern, Use of Technology on the Rise
For the fifth year in a row, cybersecurity continues to be the biggest compliance concern at registered investment adviser firms.
- Compliance