Comprehensive Training Solutions

As regulatory expectations grow more complex, ensuring your teams have the right knowledge and tools has never been more critical.

Our comprehensive training solutions are designed to keep your firm ahead of the curve, providing tailored programs that address global and regional compliance requirements, cybersecurity challenges, and industry best practices.​

Explore our specialized training programs:​

Equip your team with the knowledge and tools to meet Financial Conduct Authority (FSA) expectations effectively​.

Align with Securities and Exchange Commission (SEC) compliance requirements through expert-led programs.

Build confidence in navigating the regulatory requirements of the Dubai Financial Services Authority (DFSA) and the Financial Services Regulatory Authority (FSRA).​

Cybersecurity awareness and training programs to safeguard your business against evolving threats. 

Access intuitive and interactive compliance eLearning modules through our RegTech platform, ComplianceAlpha. 

Stay informed with highly educational and topical on-demand webcasts, available anytime for your convenience.​

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Latest insights

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Key Considerations for Adjusting Your Compliance Program in the Age of COVID-19

In this blog post, we share peer insights into how financial firms’ CCOs are navigating today's challenges, evolving regulatory expectations, and looming economic realities, along with ACA's expertise into how CCOs can adjust their compliance programs for long-term success in this environment.

Article
  • Compliance
  • COVID-19
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FCA Business Plan 2020/21: Navigating the COVID-19 Crisis Amidst Longer Term Priorities

The FCA recently published its pragmatic yet ambitious annual Business Plan for 2020-21, which makes it clear that the current COVID-19 crisis will neither derail the regulator's multi-year strategy nor lead to a relaxation of its policing mission. We examine what the regulator's plans mean for financial services firms.

Compliance Alert
  • Compliance
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CTA Promotional Material Relief for Eligible Contract Participants and Proposed Updates to Form CPO-PQR

The NFA provided relief to CTAs that are also registered with the SEC to present past performance to ECPs on a gross basis in non-public, one-on-one presentations. The CFTC also proposed changes to the Form CPO-PQR revising the scope of information collected.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

CFTC No-Action Letter: Temporary Fingerprint Card Relief for Principals and Associated Persons

Due to the ongoing COVID-19 pandemic, the National Futures Association has suspended its applicant fingerprinting service for its registrants and their principals and associated persons. The social distancing requirements have made it difficult to comply with the requirements set forth in CFTC Regulation 3.10 and 3.12.

Compliance Alert
  • Compliance
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On-Demand Training: Core Compliance Disciplines in a Remote Working World

In the current environment created by the COVID-19 pandemic, remote working (usually from home) has become the new norm. Firms and their staff must be flexible to adapt to fresh challenges while maintaining business disciplines, systems and controls. This complimentary training webcast is designed to help ensure that staff, regardless of their role, do not forget their core compliance responsibilities during this period.

Article
  • Compliance
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April 2020 Broker-Dealer Newsletter

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

Newsletter
  • Compliance

News

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

ACA Group Revolutionizes ESG Data Management with Enhanced ACA Vantage for ESG Platform

ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.

ACA Group Recognized at Pittsburgh Technology Council’s Tech 50 

ACA Group Recognized at Pittsburgh Technology Council’s Tech 50

Upcoming events

2025 ACA Conference

Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.

Conference