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 impact of the new prudential regime on commodity trading firms
Commodity trading firms ─ currently outside the scope from the regulatory prudenti
- Compliance
- FCA
White Paper: A Practical Guide to Implementing the GIPS Standards
Compliance with the GIPS standards is recognized as an industry best practice and has become a de facto requirement, especially in the institutional money management space, in order to stay competitive.
- Performance
Five Key Steps to Compliance with the SFC’s Fund Manager Code of Conduct
Investment management firms with operations in Hong Kong must turn its attention to the new Securities & Futures Commission (SFC) Fund Manager Code of Conduct (FMCC), which comes into force in four months. The package of new rules will apply to anyone licensed to carry out asset management regulated activity in Hong Kong. Here are five key steps to reach compliance with the SFC’s new FMCC.
- Compliance
Cryptocurrency Regulation FAQs for Investment Advisers
Discussion of recent developments in the regulation of digital assets, and how investment advisers’ compliance programs can adapt to manage related risks. This post provides ACA's take on a few of the most commonly asked questions.
- Compliance
MiFID II Hits Six-Month Milestone: Time to Prepare for Regulatory Scrutiny
MiFID II has reached its six-month milestone. After gruelling and expensive implementation projects, many firms may have hoped to draw a line under the regulation roll-out. But the effects of the European Union’s directive are still being felt by financial firms and recent statements from the regulator suggest that scrutiny levels are set to rise.
- Compliance
New Patterns Appearing in SEC Exams
When sworn in as Chairman in May 2017, Jay Clayton was expected by many to usher in a period of significant adjustment at
- Compliance