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
Common Deficiencies in Private Fund Manager Exams: What you need to know
The observations the SEC shared earlier this year about common deficiencies uncovered during exams hold important lessons not only for registered private funds, but for other types of funds subject to SEC oversight as well. We outline the key takeaways.
- SEC
- Compliance
Budget Benchmarking Survey Series: Compare Your Cyber and Compliance Program Resources to Your Peers
Participate in our budget and staffing surveys to learn how your peers are allocating their program’s resources and prepare for the 2023 budgeting season.
- Compliance
- Cybersecurity
Transaction Reporting: Man vs. Machine
With 97% of firms getting their transaction reporting wrong, it's clear they cannot rely solely on technology to create and submit complete and accurate reports under MiFIR, EMIR or SFTR. Can firms simply leave it up to the machines to detect errors? Or is human intervention key to ensuring the reporting is being done correctly?
- Trade & Transaction
- Compliance
New SEC Marketing Rule Master Class Podcast Released
We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.
- Compliance
- Performance
- SEC Marketing Rule
The Benefits of an Integrated Surveillance Solution
Regulatory expectations around firms’ trade surveillance programmes is rising, thanks in large part to the advent of Supervisory Technology (SupTech). The US SEC and the UK FCA are now ingesting significant volumes of transaction data every day, and are monitoring that data for potential market abuse very effectively. Is it time for firms to put more focus on this area to avoid being caught short?
- Compliance
- ComplianceAlpha
- FCA
- SEC
Looking Ahead: A Review of FCA and SEC Priorities, and What to Focus on in 2022
What are the key developments across the FCA and SEC regulatory regimes, which items should feature as priorities on your “to-do” list for the next twelve months, and how should firms respond to increased surveillance by regulators around the world?
- Compliance
- FCA
- SEC
- ESG
- SEC Marketing Rule