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
Operational Resilience in Focus, Part One: What is Operational Resilience?
In the first part of our Operational Resiliency Series, we dissect what exactly is operational resiliency, what are its domains, the foundational components, the benefits of operational resiliency and how it's different from business continuity planning.
- Cybersecurity
- Cybersecurity Resources
The Resurgence of After-Tax Performance
Firms are struggling without up-to-date standards for after-tax performance reporting, or readily available systems to guide their decision making.
- Performance
Keynote Panel Announced for ACA's 2022 Annual Conference
Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.
- Compliance
- RegTech
- ESG
- Cybersecurity
FINRA Rule 4111 – Knock-Out Blow from FINRA?
Under new Rule 4111, FINRA will evaluate its members to determine which broker-dealers will be categorized as “Restricted Firms.”
- Compliance
SEC New Marketing Rule: The Compliance Clock is Ticking
After 60 years of little to no amendments, The U.S. Securities and Exchange Commission’s (SEC) rules on advertising are set to change. With significant updates and changes ahead, learn why firms should begin preparing now to meet the November 2022 compliance deadline,
- Compliance
- Performance
- SEC
- SEC Marketing Rule
FINRA 2022 Risk Monitoring and Examination Priorities
The report identifies applicable rules and related compliance considerations for broker-dealers, summarizes recent exam findings, and describes best practices.
- Compliance