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
FINRA Provides Guidance on Succession Planning
FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.
- Compliance
5 Things to Know About Leveraging ESG in Private Debt
We discuss the important role of sustainable investing strategies in private debt, and discuss the challenges and opportunities private lenders face in deploying an ESG framework.
- ESG
ACA’s ESG Data & Analytics Solution Certifies First Plant-Based ETF as Carbon Neutral
VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification
- ACA News
- ESG
FCA Fines UK Regulated Bank £1.5m for Poor Anti-Money Laundering Checks
The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.
- FCA
- Compliance
FINRA’s Amendments to Continuing Education Take Effect January 1st
Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.
- Compliance
ACA’s Daryn Levesque Recognized as Nicsa NOVA Emerging Leader Award Recipient
Senior Principal Consultant from ACA Foreside’s ETP Distribution Operations team recognized for outstanding contribution to the development of the global asset management industry.
- ACA News