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
Custody Rule Violations and Inaccurate Form ADV Disclosures
The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.
- Compliance
- SEC
Implications of the SEC's Draft Strategic Plan
While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.
- Compliance
- Cybersecurity
Distribution Digest Volume 4
We are happy to share the Distribution Digest, which contains information about recent trends and news related to the asset management marketplace.
- Distribution
ACA Group Acquires Focus 1 Associates
ACA's latest acquisition bolsters ACA’s roster of top compliance talent and diversified services.
- ACA News
SEC Proposed Cybersecurity Risk Rules
The SEC's new proposed cyber rules affect investment advisers, clients of investment advisers, private funds, and investors of private funds.
- Cybersecurity
- SEC
LTAF or Having a Laugh?
The FCA recently announced a proposal to broaden retail access to Long-Term Asset Fund (“LTAF”). But what is an LTAF? Does anyone actually want one? Or is this just a regulatory anagram for FLAT?
- Compliance
- FCA