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
Adviser-led Secondaries, Annual Fund Audits, and Annual Compliance Review Documentation Breakdown
The Adviser-led Secondaries Rule requires advisers to obtain an independent fair or valuation opinion while the Annual Fund Audits Rule requires advisers to obtain audits of their private funds annually and upon liquidation.
- Compliance
Celebrating Black History Month at ACA: African Americans and the Arts
ACA proudly joins in the celebration of Black History Month. This year, our spotlight shines on the theme "African Americans and the Arts," a rich tapestry of culture, expression, and resilience.
- ACA News
2024 FINRA Regulatory Oversight Report
The 2024 Annual Regulatory Oversight Report provides insight into findings from FINRA's Member Supervision, Market Regulation, and Enforcement programs.
- Compliance
- FINRA
Case Study: Outsourced Performance Calculation for a Large Asset Manager
This case demonstrates the value of outsourcing investment performance management to a reputable third-party service provider.
- Performance
- Managed Services
Checking Your Own Homework: The Need for Cybersecurity Independence
The consolidation of information technology and information security providers has unintended consequences including an increased risk of cybersecurity incidents and operational disruption.
- Cybersecurity
Private Fund Restricted Activities and Preferential Treatment Rules Breakdown
The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.
- Private Fund
- SEC
- Compliance