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
FTC 'Safeguards Rule' Strengthens Data Security Requirements and Broadens the Scope of Financial Institutions Who Must Comply
FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions
- Cybersecurity
- Cybersecurity Resources
FCA Confirms Changes to MiFID II Rules on Research Plus an End to RTS 28 Reports on Best Execution
The FCA published Policy Statement PS 21/20 on Changes to UK MiFID’s conduct and organisational requirements on 30 November 2021, confirming the FCA’s proposals as set out in Consultation Paper CP 21/9.
- Compliance
Q1 2022 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.
- Compliance
- RegTech
- Regulatory Deadlines
ACA's Top 10 Articles of 2021
As we reflect on the past year, we wanted to take a moment to look back at our most popular articles from 2021.
- Compliance
- Performance
- Cybersecurity
- AML and Financial Crime
- Trade Surveillance
ACA's Top 10 Webcasts of 2021
As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.
- Compliance
- Performance
- ESG
- Cybersecurity
- RegTech
Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021
With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.
- RegTech
- eComms Surveillance
- Trade Surveillance