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 Regulatory Initiatives Grid and Implementing Regulatory Change in the UK
The Financial Services Regulatory Initiatives Forum (‘FSRIF’ or the ‘Forum’) recently published its Regulatory Initiatives Grid to help the financial services industry understand, and plan for regulatory change as a result of COVID-19. We examine the impact and areas of focus.
- Compliance
SEC Examination Requests Related to COVID-19 Business Continuity and Operational Resilience
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) announced in March that it intends to engage in an ongoing outreach with registrants to assess the impacts of COVID-19, including challenges impacting operational resiliency. In the last few weeks, ACA has seen an increase in the number of examinations announced by the SEC examination staff.
- Compliance
- BCP
- COVID-19
- Cybersecurity
Regulation Best Interest Readiness Survey
We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS in preparation for the June 30, 2020 compliance deadline.
- Compliance
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.
- Compliance
- COVID-19
Case Study: Portfolio Risk Management for Oil & Gas
Read how a private equity energy investor experiencing increased cyber threats to its portfolio companies worked with ACA Aponix to deploy a comprehensive risk management solution to cover all of the firm’s oil and gas portfolio companies.
- Cybersecurity
- Portfolio Company Risk Management
Case Study: Holistic Risk Assessment for Lynx FBO Aviation
Read how Lynx FBO Network (Lynx) in the general aviation industry worked with ACA Aponix to execute a Holistic Technology and Cybersecurity Risk Assessment.
- Cybersecurity
- Portfolio Company Risk Management