Compliance Training

by ACA Compliance Group

 

Training is an essential part of every organization’s efforts to build an effective compliance culture. Regulators explicitly require training, and seek evidence of training as part of their regular reviews. In addition, organizations often require specialist training as they move into new businesses or change the way they are operating in existing ones.

We offer two types of compliance training:

  • In-house training – This training is conducted at your office or chosen location at a time or date convenient for you. Courses can be tailored to meet your learning objectives and the content developed to meet your specific requirements. Contact us to learn more about our tailored training courses, which can take place at our London office or at a location of your choice.
  • Open public training – These courses are scheduled throughout the year to take place at our London office. This great networking opportunity enables individuals to connect with those from other firms and it allows firms to book individuals on courses whenever the need arises. Click here to view our full range of courses.

Note: We provide discounted rates for multiple bookings of all training course types. If you have any questions or comments, please contact us.

20th February 2019 – Money Laundering Reporting Officer: The Role and Responsibilities

 

Time: 9.30am to 4.30pm

Cost: £699 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved.

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21st February 2019 – Managing Capital Adequacy Risk

Time: 9:30am to 12:30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

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21st February 2019 – Fraud Prevention: The Often ‘Forgotten Risk’

Time: 1:30pm – 4.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens.

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22nd February 2019 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £699 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

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25th - 26th February 2019 - Introduction to Modern Financial Markets

Hosted in partnership with:

Overview

Learn how to understand and interpret modern financial markets through this highly interactive course, in partnership with UK Finance. You will be introduced to the intricacies of the financial markets and become more proficient with understanding their workings and their risks.

This comprehensive and highly interactive course is designed to provide delegates with an excellent understanding of the financial markets and how they work. This is an ideal course for people working in the back office, Finance, Risk, Internal Audit and Compliance functions as well as individuals new to the industry who need to enhance their knowledge of the various and often complex financial markets. All of this is explained in an interactive and clearly understandable manner. Case studies are used throughout the course to help bring the markets to life and to foster interaction.

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27th February 2019 – Financial Crime: Politically Exposed Persons and Financial Sanctions

Time: 9.30am to 12.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This succinct course provides advice and guidance on compliance with the Statutory and Regulatory requirements relating to Politically Exposed Persons and Financial Sanctions.

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27th February 2019 – The UK Data Protection Regime: For All Employees

 

Time: 1.30pm to 4.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

The objective of this course is to “square the circle” by explaining to employees at all levels the practical impact on them, their employer and the potential for higher penalties under the GDPR for failure to comply.

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28th February 2019 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £699 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.

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5th March 2019 - Anti-Money Laundering Awareness

Time: 1.30pm to 4.30pm

Cost: £299 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is specifically designed to assist Senior Management in meeting these obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

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5th March 2019 - Financial Crime Prevention

Time: 9:30am to 12:30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 24 of the Money Laundering Regulations 2017 (MLR).

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6th March 2019 - Market Abuse Regulation (MAR)

Hosted in partnership with:

Overview

The Market Abuse Regulation course, in partnership with UK Finance, provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective.

The course describes the negative impacts of market abuse and the UK’s anti-market abuse regimes, which aim to ensure that the markets are fair for all users and to regulate market conduct consistently.

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6th March 2019 - Trade Surveillance

Hosted in partnership with:

Overview

This half-day training course in partnership with UK Finance starts by considering the effects regulation has had on the compliance and surveillance function.  Further topics will include; Data and Technology, Insider Information, Cartels and Social Media, running a Cartel and Cybercrime.

This workshop is run by a highly experienced former trader and trainer who will demonstrate how a trader or asset manager might seek to make gains or to reduce losses, either personally, for a portfolio, or for another, by breaking the rules set down in MAD.

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6th March 2019 - Financial Services Regulation for HR specialist: including SM&CR

 

 

 

Time: 10.00am to 12.00pm

Cost: £299 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This workshop is specifically designed for human resources specialists to help them understand the regulatory expectations and responsibilities relating to their role.

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6th March 2019 – Individual responsibilities for Certification staff

Time: 1.00pm to 3.00pm

Cost: £299 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This interactive course is aimed at all staff in Certification roles. It explains how fit and proper status is determined and reviewed under SM&CR and the implications of changing roles. It also explains the COCON rules in practical terms and helps participants to understand how the Rules apply to them individually.

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7th March 2019 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £699 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved.

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12th March 2019 – Client Assets Rules and Practical Application

Time: 9.30am to 12.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

Management and Compliance are expected to ensure they keep up to date with changes in the CASS requirements and are ready to react in case of need – this obliges ALL relevant personnel to understand the contents of the CASS rulebook.

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12th March 2019 – The CF10a: the Role and Responsibilities

Time: 1.30pm to 4.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

This course emphasises the requirements and responsibilities the CF10A role has to carry as a matter of routine to meet regulatory and client expectations in the event of a disaster.

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13th March 2019 – Training and Competence: Achieving Compliance

Time: 9.30am to 12.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

This course is designed to help staff from both functions understand the regulatory foundations behind not only the learning framework, but also the ongoing supervision model.

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14th March 2019 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

 

Time: 9.30am to 12:30pm

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Cost: £399 + VAT

Course Overview:

This report must include an opinion as to the effectiveness of the anti-money laundering systems and controls, together with other information that the MLRO needs to bring to the attention of the governing body. This course is designed to provide succinct guidance for MLRO in the preparation of the report.

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14th March 2019 - Writing an effective Compliance report

Time: 1:30pm to 4:30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

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15th March 2019 - Financial Promotions

Time: 1.30pm to 4.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is designed to explain, in a clear and practical way, what the rules are and what needs to be done to achieve and maintain compliance with them.

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20th March 2019 - AML Master Class: Understanding and managing the risk

 

 

Time: 9.30am to 4.30pm

Cost: £699 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course delivers practical guidance on how to implement an AML strategy rooted in a realistic understanding of the risks of exposure to criminal proceeds and terrorism financing.

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22nd March 2019 – Senior Management Obligations in FCA regulated firms

 

 

 

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This succinct course is designed to assist Senior Management to have a full understanding of what they need to do to achieve compliance with two specific parts of the Rules.

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22nd March 2019 - Preparing your firm for the SM&CR

Time: 12.30pm to 2.30pm

Cost: £299 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This concise course gives an overview of the new requirements and explores the issues which firms will need to address and resolve if they are to meet the new regime effectively.

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22nd March 2019 - Individual Senior Manager Responsibilities under SM&CR

Time: 3.00pm to 5.00pm

Cost: £299 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This concise course gives an overview of the new requirements and explores the practical implications for individual senior managers arising from the implementation of the SM&CR which they will need to address if they are to meet the new regime effectively.

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26th March 2019 - Introduction to Banking

Hosted in partnership with:

Overview

The banking system has had, and still has a great impact on the economy, both nationally and globally. The role of banks is evolving, and new financing models are being introduced to maximise profits. This workshop, in partnership with UK Finance, will provide you with an interactive exploration of the banking world, learning the strategic and operational workings of banks.

An interactive exploration of banking. Participants learn about the structure of the banking world. Starting with the risks and returns of commercial banks, participants explore how banks lend to corporates and individuals, and fund through deposits and the financial markets. They go on to learn how investment banks bring new share and bond issues to the primary market. And how banks trade in the OTC markets and operate as “market maker” and how they make profits.

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27th March 2019 – The Market Abuse Regulation

 

Time: 9:30am to 12:30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course will provide you with an understanding of what the MAR means to your firm and your employees. The course focuses on the rules and the practical application of systems and controls to identify and reduce the risk of market abuse.

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27th March 2019 – Market Abuse: Trade Surveillance Workshop

Time: 1:30pm to 4:30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Workshop Overview:

This workshop will demonstrate how an asset manager or trader might seek to make gains or to reduce losses, either personally, for a portfolio, or for another, by breaking the rules set down in MAD.

LEARN MORE/REGISTER

28th March 2019 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £699 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.

LEARN MORE/REGISTER

29th March 2019 - Compliance Induction

Time: 9:30am to 4:30pm

Cost: £699 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

LEARN MORE/REGISTER

4th - 5th April 2019 - Treasury Management and the Products

Hosted in partnership with:

Overview

This course, in partnership with UK Finance, is designed to give real insight into how a modern Treasury department operates. An in-depth look at the structure, management and risks of a Treasury department and how they operate on a day-to-day basis.

The course looks at the products used in risk management and how these risks are measured and controlled. The use of case studies allows us to look at how the Treasury funds, invests and hedges on behalf of the business and the crucial role that Treasury plays in any companies’ success.

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30th April 2019 - Introduction to Private Equity

Hosted in partnership with:

Overview

This course, in partnership with UK Finance, delves into the operational aspects of the Private Equity Market, providing a rounded understanding of the potential high risks and rewards of investing in Private Equity.

This introduction course reviews the structure of funds, the investment process, how returns are generated and the utilisation of Private Equity as either an asset or exit method for investors.

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1st - 2nd May 2019 - Understanding Wealth Management

Hosted in partnership with:

Overview

This course, in partnership with UK Finance, will provide specialist knowledge and expertise to in wealth management, examining how the asset management industry operates with perspectives on the products and services offered by the industry.

This course is designed to give real insight into the world of Wealth Management. Why it is important to know your client and understand what constitutes a High Net Worth Individual (HNMI). The course examines how the asset management world works and the products and services that can be offered to enhance returns. The different types of HNWI, using case studies and role play to examine what sort of services could be offered to each client to meet their individual needs.

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7th May 2019 - Introduction to Equity Markets

Hosted in partnership with:

Overview

If you are looking to gain a good understanding of financial instruments and the markets on which they trade, then this intensive one-day course, in partnership with UK Finance, is for you.

Participants will learn about the equity markets and experience trading in a simulated market place which will provide an overview of how equity markets function and put a business’s role within these markets into perspective.

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29th May 2019 - Introduction to Fixed Income Markets

Hosted in partnership with:

Overview

This course, in partnership with UK Finance, is designed to provide an introduction to fixed income products and investment principles aiming to improve understanding of this asset class and the complex market jargon surrounding the Fixed income Market.

Delegates will also gain a working knowledge of investing and trading in bond markets as well as understanding the principals on pricing, position management and risk management calculations.

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12th June 2019 - Introduction to Foreign Exchange Markets

Hosted in partnership with:

Overview

This course, in partnership with UK Finance, is designed to give real insight into the use of Derivatives and the role they play in the management of portfolios at Asset Managers and Hedge Funds alike. It is now essential to have a good understanding of how these products work. This course will allow you to understand how they are used by Managers and how the fast changing Regulatory Environment they operate in, is affecting them.

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