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
Whaling Attacks: How to Respond When a C-Suite Executive is a Victim
Whaling will soon become one of the most prominent forms of cyberattacks, especially with firms that operate in remote and hybrid work environments. In this article, we describe: whaling attacks, their impact, how to prepare C-Suite executives to not fall victim to whaling attacks, and what to do if an executive is a victim.
- Cybersecurity
- Cybersecurity Resources
Significant Proposals for Cybersecurity Risk Rules in the Financial Industry
The SEC recently voted to propose new rules to address cybersecurity risk management for registered investment advisers and investment companies. These proposed rules address multiple concerns related to cybersecurity risks to investment advisors, clients of investment advisors, private funds, and investors of private funds.
- Cybersecurity
Lifting the Lid on the Systematic Trading: The Most Common Compliance Pitfalls
Navigating the matrix-like world of algorithmic trading is a complex task for compliance officers at SEC and FCA registered firms. Poor management results in adverse impacts for investors, losses or reputational damage. We reveal common compliance errors and provide guidance on how to rectify them.
- Compliance
Private Markets Quarterly Update 2021 Q4
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
- Compliance
NFA Announces Extension of Relief from On-site Branch Inspections
The NFA issued a Notice to Members on February 1, 2022, extending relief from performing on-site annual branch office inspections.
- Compliance
Cyber Insurance: Top Five Trends for 2022
The first blog post in a multi-part series on cybersecurity insurance produced by ACA Aponix’s Thought Leadership Team. The objective of this series is to provide clients with the highest quality insights and expertise on the changing and evolving cyber insurance marketplace.
- Cybersecurity
- Cybersecurity Resources