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
EXAMS Risk Alert Warns Advisers and Broker-Dealers to Beef Up Identify-Theft Practices
EXAMS issued its sixth Risk Alert to let advisers and broker-dealers know how firms are failing to meet their obligations under Regulation S-ID, the “Identity Theft Red Flag Rule."
- Compliance
- SEC
Recent Rackspace Exchange Outage is Another Reminder to Firms of the Importance of Business Continuity Planning
The ongoing, systemwide Microsoft Exchange outage demonstrates the importance of having contingency strategies in case of business disruptions.
- Cybersecurity
The Compliance Talent Supply and Demand Challenge
Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.
- Compliance
- Managed Services
- FCA
- SEC
- ComplianceAlpha
- RegTech
ACA Group Acquires Advanced Regulatory Compliance
Acquisition continues to reinforce ACA’s suite of leading GRC professionals and diversified services
- ACA News
White Paper: The Private Equity Managers Path to Compliance With the GIPS Standards
This white paper outlines the increased importance for private equity firms to claim GIPS compliance and takes firms through the various requirements.
- Performance
Foreign Withholding Tax Leakage and ETF Performance Implications
Understanding the complexities of foreign WHT, its implication for fund performance, and the relief available to U.S.-domiciled ETFs, is significant in remaining competitive amongst other funds.
- Distribution