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
Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs
As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.
- Compliance
- SEC
SEC Cybersecurity Rule 206(4)-9 Expected to Be Finalized in April 2023
The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.
- Cybersecurity
- Cybersecurity Resources
- SEC
The SEC Plans to Finalize ESG-Related Rules in 2023
The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.
- ESG
- SEC
Updated FAQ About the SEC Marketing Rule Performance Requirements
The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).
- Compliance
- Performance
- SEC Marketing Rule
- SEC
Q1 2023 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.
- Regulatory Deadlines
- Compliance
Case Study: Helping a Leading Hedge Fund Address Transaction Reporting Errors
How ACA’s Regulatory Reporting Monitoring & Assurance (ARRMA) helped one of Europe’s leading alternative asset management firms fund identify, resolve, remediate, and prevent future MiFIR transaction reporting errors.
- Trade & Transaction
- Compliance