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
Regulatory Technology Trends to Watch for in 2022
We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.
- RegTech
- Compliance
ACA Mirabella Awarded HFM's Title of Best Regulatory Hosting Platform
ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.
- Mirabella
- Compliance
- ACA News
Cybersecurity And The Workplace: Part 3
In part 3 of our series, we discuss how to confront cybersecurity workforce shortages through flexible hiring and retention strategies
- Cybersecurity
- Cybersecurity Resources
Transaction Reporting Still Not a Priority for Firms, Despite Recent ESMA Fine
New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.
- Compliance
- FCA
- Trade & Transaction
New FCA Climate-Related Disclosure Obligations: Start Planning Now
Enhanced FCA climate-related disclosures come into play for many asset managers from 1 January 2023. Compliance is closely aligned to the Taskforce on Climate-Related Financial Disclosures (“TCFD”). Download our guidance sheet to start planning for the upcoming changes.
- Compliance
- FCA
- ESG
Summary of FINRA Regulatory Actions in 2021
FINRA brought 126 enforcement actions and issued fines totaling almost $100M in 2021. In comparison, FINRA only issued a total of $57M in fines during 2020.
- Compliance