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
FCA has concerns about investment firms’ personal account dealing controls
The FCA has published Market Watch 62, in which it expresses significant concerns about authorised firms’ systems and controls when it comes to Personal Account Dealing (“PAD”).
- Compliance
ACA Compliance Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators
ACA has added several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.
- Compliance
Are You Ready for 2020? Peer Benchmarking Your Firm's RegTech Program
As you prepare to close 2019 strong and get ready for 2020, budgeting for RegTech as an efficient and cost-effective way to drive efficiencies and build a strong compliance program should be top of mind. Download our infographic to see how your peers are implementing - and budgeting for - RegTech.
- RegTech
Consultant's Corner Q&A: Preparing and Prioritizing for 2020
With less than three months of the year remaining, compliance professionals are feeling the pressure to cross off those final to-do’s for 2019 and build a strong foundation for 2020. To get firsthand insight on the challenges CCOs face, we sat down with one of ACA’s newest senior principal consultants and former CCO, Leigh Emery, to chat about the year-end obstacles, how to overcome them, and what trends to prepare for in 2020.
- Compliance
Transaction Reporting: Seven More to Study
Following on from Market Watch 59, the FCA has just published Market Watch 62 where yet again it is taking aim at the numerous data quality issues seen in MiFIR transaction reports. The FCA’s persistent focus on the topic and the fact that many firms do not appear to be taking on board their observations make it increasingly likely that the FCA’s patience might be wearing thin.
- Trade & Transaction
ACA Compliance Group Enhances Automated Trade Blotter Review Tool to Align with the SEC’s Latest Trading Data Request Template
ACA's automated trade blotter review tool includes a trading file request template that aligns with the SEC's latest data request template to help registered investment advisers more thoroughly, proactively, and efficiently prepare for a potential SEC examination.
- RegTech
- Trade Surveillance