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
2019 Investment Management Compliance Testing Survey Results
ACA Compliance Group and the Investment Adviser Association release the results from their 2019 Investment Management Compliance Testing Survey. For the sixth year in a row, cybersecurity remains the biggest compliance concern at registered investment adviser firms – with 83 percent of survey respondents identifying cybersecurity as the “hottest” compliance topic and 70 percent indicating that their firms increased compliance testing in this area over the past year.
- Compliance
Regulatory Cyber Alert: Cyber Incidents Reported to the FCA by UK Financial Services Firms Increased by 1,087% in 2018
A recent Freedom of Information request to the UK’s Financial Conduct Authority (FCA) by accounting firm RSM revealed that 819 cyber incidents were reported to the FCA during 2018 – almost a 12-fold
- Cybersecurity
Investment Adviser Standard of Conduct and Form CRS - What You Need to Know (Part 1 of 2)
On June 5, 2019, the SEC released a final comprehensive interpretation of the standard of conduct for investment advisers, which will become immediately effective upon publication in the Federal Register (anticipated July 2019). Here's what you need to know.
- Compliance
Regulatory Cyber Alert: ICO to Fine British Airways £183.39m ($230M) Under GDPR for Data Breach
The UK's ICO plans to fine British Airways £183.39m ($230M) under the General Data Protection Regulation (GDPR) for a breach that occurred in 2018. The proposed penalty represents the largest fine of a company since GDPR came into force.
- Cybersecurity
Market Abuse Regulation three years on: is this still a priority for the regulator?
This week marks three years since the Market Abuse Regulation (MAR) overhauled the civil market abuse regime across Europe, repealing and replacing the Market Abuse Directive (MAD) and the UK’s own
- Compliance
June 2019 Broker-Dealer Newsletter
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.
- Compliance