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
Brexit and the FCA's Temporary Permissions Regime: The Final Countdown?
With the UK government’s desperate attempts to achieve a Brexit settlement having reached a crescendo, the FCA continues to make preparations for the worst case no-deal scenario. There appears still to be some uncertainty about who the regime applies to. This alert updates our previous alert on the same topic, with the objective of providing certainty to our clients on the current position.
- Compliance
The SEC Encourages Transfer Agents to Review and Strengthen Policies, Procedures and Controls
On February 13, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations ( OCIE) issued a Risk Alert highlighting the concerns and issues associated with certain types of transfer agents (“TAs”) that also serve as paying agents. While the Risk Alert is aimed at certain operational and regulatory requirements, compliance professionals within the mutual fund industry should also consider how certain areas identified by OCIE are compared to their mutual fund company’s in-house or third-party TA and/or sub-transfer agent(s).
- Compliance
White Paper: Board Oversight of Cybersecurity… In Search of the Rosetta Stone
ACA Compliance Group and ACA Aponix are please to present their newest white paper, Board Oversight of Cybersecurity...In Search of the Rosetta Stone.
- Compliance
SEC OCIE To Launch Cybersecurity Initiative Focused on M&A
Missed the 2019 Mutual Fund and Investment Management Conference? ACA's Jim Pappas shares his observations from the keynote session which featured a speaker from the SEC.
- Cybersecurity
Why Financial Services Firms Must Prepare for the California Consumer Privacy Act
ACA's Alex Scheinman discusses why financial services firms should prepare for CCPA compliance and develop a compliance roadmap.
- Cybersecurity
ACA Compliance Group's Spring 2019 Alternative Fund Manager Survey
Are you interested in what frequently asked compliance questions your peers have raised or have wondered about? Participate in our Alternative Fund Manager Survey.
- Compliance