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
2023 Regulatory Filings Calendar for Investment Advisers
Be prepared for the year ahead with our calendar of key regulatory reporting deadlines, on-going and annual regulatory obligations, and national holidays.
- Compliance
- Managed Services
- SEC
- FCA
- Regulatory Deadlines
Finalization of California Privacy Rights Act (CPRA) Is Pushed Back
The CPRA release will be pushed to April 2023, leaving existing rules in effect until then.
- Cybersecurity
Global Privacy Year-End Brief: What’s Happening Now & What to Expect in 2023
We summarize our recent Global Privacy webcast, which featured ACA Aponix's Alex Scheinman, Tyler Pearson, and independent privacy consultant Bill Schaumann.
- Cybersecurity
U.S. Regulatory Update – December 2022 Edition
This issue covers the SEC Division of Enforcement’s 2022 annual report, FINRA’s recent sweep of crypto-related communications, recently adopted mutual fund rules, and compliance concerns for real estate fund managers when interest rates rise.
- Compliance
FCA Fines Broking Firm and Bans Former Directors Over Reporting Failures
A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.
- Compliance
- Trade & Transaction
- FCA
- ComplianceAlpha
- Trade Surveillance
ACA Group Selected as a RegTech100 Company for 2023
We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!
- ACA News
- RegTech