Compliance Training in Europe
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 courses, 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
Tip for Updating Your Compliance Program: Shareholder Reporting Requirements and Amendments to Advertising Rules
The SEC's new rule amendments for mutual funds and ETFs aim to provide concise shareholder reports and require physical delivery instead of online posting. The amendments also introduce new advertising requirements for fee and expense figures.
- Compliance
- SEC
- Mutual Fund
ACA Group Appoints Patrick Olson as Chief Executive Officer
17-year BlackRock veteran with blend of industry expertise, client relationships and global operating experience, will help drive growth and innovation.
- ACA News
SEC Staff Bulletin – Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations
The SEC issued guidance on the Care Obligation of Reg BI, emphasizing understanding risks, obtaining investor information, considering alternatives, and exercising caution with complex products.
- SEC
- Compliance
Tip for Updating Your Compliance Program: Enhanced Proxy Voting Requirements
New SEC rules require standardized categorization, machine-readable filing, and sharing of mutual fund proxy votes and shares, with say-on-pay votes reported on Form N-PX by institutional investment managers worth $100 million or more only if they vote.
- Compliance
- SEC
U.S. Regulatory Update – May 2023 Edition
This update includes insights on the third SEC Bulletin on Reg BI and Fiduciary Standard of Care, Ransomware Reminders, New N-PX Reporting, and the looming FTC Safeguards Rule.
- Compliance
- SEC
Meeting the Evolving ESG Demands of Institutional Investors
Despite market challenges, sustainable investing remains a strong growth driver for ACA clients. Although institutional asset owners show increasing interest in this area, it can be challenging to find compelling investment offerings.
- ESG