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
SEC Announces Marketing Rule Compliance as Exam Priority
With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.
- SEC
- SEC Marketing Rule
- Compliance
Interval Funds Basics
In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.
- Compliance
- Distribution
ACA Commemorates Hispanic Heritage Month
We are excited to celebrate Hispanic Heritage Month with our Hispanic/Latinx Organization for Leadership & Advancement (HOLA) Employee Resource Group!
- ACA News
FCA Releases Final Rules on the Use of Appointed Representatives
The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.
- Compliance
ACA Group Unveils Outsourced Chief Compliance Officer Practice
ACA has announced their launch of a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.
- ACA News
FCA's Latest Dear CEO Letter: Is the Devil in the Detail?
The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.
- Compliance