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
Ten Advantages of Pursuing FCA Authorisation
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
- FCA
- Compliance
Ten Advantages of Turning to Regulatory Hosting in the UK and EU
If you're navigating this complex terrain and want to access the EU or UK markets, exploring the regulatory hosting route could offer significant commercial and operational advantages.
- Mirabella
Common AML Schemes: ESG
ESG criteria can prevent money laundering, as they generally have strong compliance systems and ethical practices. However, there are still some vulnerabilities that can be exploited.
- AML and Financial Crime
- ESG
SEC Examinations Division to Evaluate Firms’ Readiness for T+1
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
- Compliance
- SEC
An Introduction to Interval and Tender Offer Funds
Non-traditional closed-end interval and tender offer funds constitute an important segment of the investment industry. Their unique structure allows asset managers to deliver alternative and illiquid investment strategies to a broad investor base.
- Distribution
Case Study: Establishing Cybersecurity Portfolio Oversight
This case study discusses how ACA Aponix helped identify areas for cybersecurity growth, visibility, and value enhancement across Gridiron Capital LLC’s portfolio.
- Cybersecurity
- Portfolio Company Risk Management