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
Proposed Amendments for Regulation NMS
The SEC proposed various rule amendments to Regulation NMS to adopt variable minimum pricing increments, reduce access fee caps, and enhance the transparency of better-priced orders.
- Compliance
- SEC
ACA Chooses to #EmbraceEquity to Resist Inequality
ACA hosted a full month of celebrations focused on all of our hardworking women in the workplace.
- ACA News
Proposed Regulation Best Execution Standard
The SEC proposed new regulations requiring broker-dealers to establish policies on conflicted transactions, assess execution quality, and preserve regulation compliance records, among other specific provisions.
- Compliance
- SEC
Tip for Updating Your Compliance Program: ESG
Investor demand has pushed funds to incorporate more ESG factors. As a result, the SEC has launched a Climate and ESG Task Force to identify ESG-related misconduct.
- ESG
- SEC
ACA Awarded Most Innovative Trade Surveillance Solution
ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.
- ComplianceAlpha
- RegTech
- ACA News
- Trade & Transaction
ACA Group Launches ACA Signature to Meet Client Demand for Outsourced Compliance Programs
New scalable solution is curated to suit financial firms’ unique compliance needs and challenges
- ACA News