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
The New York State Department of Financial Services Expands Cybersecurity Rules
The NYDFS recently updated its regulations to add strict provisions on board oversight, ransomware payments, and event reporting.
- Cybersecurity
The SEC Targets Use of Predictive Data Analytics
Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.
- Compliance
- SEC
- Artificial Intelligence (AI)
ACA Foreside Celebrates Double Victory at 2023 ETF Express US Awards
ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.
- ACA News
The CFTC Cracks Down on Recordkeeping Failures
The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.
- RegTech
- Compliance
Are You FINRA Licensed?
Many asset managers come to us when they find out they can no longer rely on the issuer exemption and are faced with the dilemma of their staff promoting their funds. We break down the requirements to help you avoid this issue.
- Distribution
- FINRA
U.S. Regulatory Update – October 2023
The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.
- Compliance
- Private Fund
- SEC
- SEC Marketing Rule
- FINRA
- ComplianceAlpha