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.
Upcoming Training Courses
Take the opportunity to book onto one of our virtual and interactive courses.
We offer a wide range of courses, designed to help you understand the regulatory framework and apply compliance. 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.
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.
We are honored to win Best ETF Distributor, Best ETF Compliance Team for Mutual Fund to ETF conversions, and Best ETF Regulatory/Compliance Adviser at the ETF Express US Services Awards.
- ACA News
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
We share our observations concerning the SEC's Division of Examinations' public priorities and our insights and practical considerations from recent exams.
According to the SEC proposed Rule 206(4)-9, RIAs and private funds must now submit a confidential report to the SEC within 48 hours from when a “significant cyber incident” is discovered.
$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.