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.
Upcoming Training Courses
Take the opportunity to book onto one of our virtual and interactive courses.
- 06 June 2023
25 July 2023
12 September 2023
31 October 2023
05 December 2023
08 June 2023
27 July 2023
- 14 September 2023
- 16 November 2023
- 20 June 2023
- 01 August 2023
- 03 October 2023
- 30 November 2023
We offer a wide range of courses, designed to help you understand the regulatory framework and apply compliance. 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.
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.
Should Broker-Dealers That Accept Hard Dollars for Research from EU Money Managers Register as Investment Advisers?
With the SEC's no-action letter temporary relief coming to an end, broker-dealers who accept hard dollar payments for research from EU/UK asset managers must carefully evaluate their registration options to comply with the Investment Advisers Act of 1940.
Tip for Updating Your Compliance Program: SEC Exam Observations Risk Alert
The SEC is focusing on private funds and issued a risk alert in January 2022 outlining common deficiencies observed during private fund exams. Private fund managers should review their compliance programs to avoid these deficiencies.
Managing the Risk of Large Language Models Like ChatGPT
Discover ways to leverage the power of LLMs like ChatGPT while protecting your organization from risks like privacy breaches, IP concerns, and quality control issues.
Celebrating Asian Pacific American Heritage Month at ACA Group
ACA is committed to nurturing an inclusive workplace. We share some of exciting ways the company celebrates Asian Pacific American Heritage Month (APAHM).
- ACA News
Tip for Updating Your Compliance Program: Form CRS
The SEC put out a Bulletin “to help insure investment professionals live up to” their obligations under Regulation BI and the Commission Interpretation Regarding Standard of Conduct for Investment Advisers (the “Fiduciary Interpretation”). We share tips for meeting these standards.
ACA Group Wins Big at 2023 HFM European Services Awards
ACA's client-focused model and technology-enabled solutions continue to set them apart.
- ACA News