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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.

 

Partnership with UK Finance

We now offer a full range of new training courses and workshops in partnership with UK Finance. These courses will help you and your team develop a strong understanding of financial markets and trade. UK Finance is the collective voice for the banking and finance industry. Representing more than 250 firms across the industry, they act to enhance competitiveness, support customers and facilitate innovation.

UK Finance works for and on behalf of its members to promote a safe, transparent and innovative banking and finance industry. They offer research, policy expertise, thought leadership and advocacy in support of their work. They provide a single voice for a diverse and
competitive industry. Their operational activity enhances its members’ own services in situations where collective industry action adds value.

24th April 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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24th April 2019 - Preparing your firm for SM&CR

Time: 12.30pm to 2.30pm

Cost: £299 + VAT

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

Course Overview:

The extension of the scope of the Senior Management and Certification Regime (SM&CR) to cover all FCA solo-regulated entities will result in many firms needing to become familiar with the new regulatory requirements and to get to grips with their implications. 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.

LEARN MORE/REGISTER

24th April 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:

The extension of the scope of the Senior Management and Certification Regime (SM&CR) to cover all FCA solo-regulated entities will cause many firms to consider carefully how they will meet the new regulatory requirements. 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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25th April 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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26th April 2019 - Compliance Induction

Time: 9:30am to 4:30pm

Cost: £699 + VAT

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

Course Overview:

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. 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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29th April 2019 - Managing and Supervising Staff in Scope of the Conduct Rules

Time: 9.30am to 11.30am

Cost: £299 + VAT

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

Course Overview:

Under the Conduct Rules, those who supervise others are required to manage with skill, care and diligence. This course provides an opportunity for those with supervisory responsibilities to explore the nature of their leadership role, to understand how supervision contributes to business success and to identify some of the key activities which the role demands of them.

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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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8th May 2019 – The Role of Independent Non-Executive Directors

Time: 9.30am to 12.30pm

Cost: £399 + VAT

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

Course Overview:

This briefing seeks to focus on the key role of the INEDs, what regulators expect of them and will point to the critical on-going relationship between the Board/Executive Body, Senior Management and all in the firm, whether they are from the EU or elsewhere, i.e. “the tone from the top”.

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8th May 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:

Fraud is often referred to as the “forgotten risk” yet official statistics indicate that £85 billion per year is lost to fraud and instances of white collar crime is on the rise. 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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9th May 2019 – The Role of Internal Audit in Financial Services Firms

Time: 9.30am to 4.30pm

Cost: £699 + VAT

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

Course Overview:

This course is specifically designed to assist Senior Management to understand the role of their internal audit function and to assist them in attaining an internal audit function upon which they can rely. The course includes examples of the areas covered by internal audit, the risk management approach to internal auditing, undertaking a review and what you should expect from the reports provided to you.

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14th May 2019 – Financial Promotions

Time: 9.30am to 12.30pm

Cost: £399 + VAT

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

Course Overview:

The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way. 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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15th May 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. The course starts with the consideration of criminal and terrorist operating methods and the risks they generate. It moves on to building a risk assessment and the deployment of such assessments in guiding AML and CDD.

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16th May 2019 – Suitability and Appropriateness: Avoiding mis-selling

Time: 9.30am to 4.30pm

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

Cost: £699 + VAT

Course Overview:

This is a very interactive one-day course, designed to provide practical guidance to individuals involved in selling investment products to consumers. The course will emphasise the responsibilities on senior management and will identify systems and controls that need to be in place to attempt to mitigate this significant compliance risk.

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17th May 2019 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £699 + VAT

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

Course Overview:

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. 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

17th May 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). The course includes examples of the offences that could have an impact on Senior Management, including the potential for two years in prison for not taking sufficient steps to prevent bribery.

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17th May 2019 – Anti-Money Laundering Awareness

Time: 1.30pm to 3.30pm

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). The course is also invaluable to MLRO’s that need to have a good knowledge of the UK AML regime to enable them to carry out their role successfully.

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21st May 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. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

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22nd May 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.

LEARN MORE/REGISTER

22nd May 2019 – Preparing your firm for SM&CR

Time: 12.30pm to 2.30pm

Cost: £299 + VAT

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

Course Overview:

The extension of the scope of the Senior Management and Certification Regime (SM&CR) to cover all FCA solo-regulated entities will result in many firms needing to become familiar with the new regulatory requirements and to get to grips with their implications. 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.

LEARN MORE/REGISTER

22nd May 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:

The extension of the scope of the Senior Management and Certification Regime (SM&CR) to cover all FCA solo-regulated entities will cause many firms to consider carefully how they will meet the new regulatory requirements. 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.

LEARN MORE/REGISTER

23rd May 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 3-hour 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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23rd May 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:

From 25th May 2018 the General Data Protection Regulation (GDPR) replaces the UK Data Protection Act 1998. Firms will have been preparing for this for some time, considering how the changes will affect them and updating policies and procedures accordingly.

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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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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29th May 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

30th May 2019 - The FCA Code of Conduct Rules: Understanding and Complying with COCON

 

Time: 10.00am to 12.00pm

Cost: £299 + VAT

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

Course Overview:

From 9th December 2019 the extension of the SM&CR will mean that senior managers and certification staff in all regulated financial services industry firms will need to comply with the Conduct Rules. This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

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30th May 2019 - Financial Services Regulation for HR specialists: including SM&CR

 

Time: 1.00pm to 3.00pm

Cost: £299 + VAT

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

Course Overview:

This workshop is specifically designed to explain the implications of working in a regulated environment and, in particular, to address those aspects of the regulatory regime which have a direct impact on the HR function, with particular reference to Approved Persons and the Senior Managers and Certification Regime (SM&CR).

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3rd June 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.

LEARN MORE/REGISTER

3rd June 2019 – Preparing your firm for SM&CR

Time: 12.30pm to 2.30pm

Cost: £299 + VAT

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

Course Overview:

The extension of the scope of the Senior Management and Certification Regime (SM&CR) to cover all FCA solo-regulated entities will result in many firms needing to become familiar with the new regulatory requirements and to get to grips with their implications. 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.

LEARN MORE/REGISTER

3rd June 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:

The extension of the scope of the Senior Management and Certification Regime (SM&CR) to cover all FCA solo-regulated entities will cause many firms to consider carefully how they will meet the new regulatory requirements. 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.

LEARN MORE/REGISTER

4th June 2019 – Compliance Monitoring

Time: 9.30am to 12.30pm

Cost: £399 + VAT

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

Course Overview:

The Compliance Officer is expected to develop a risk based Compliance Monitoring Programme (CMP) which details the various tests that the compliance function will complete and the frequency with which each test will be carried. This course will go through the steps that should be followed to produce a risk based CMP that will be acceptable to Senior Management, the Board and the regulator.

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4th June 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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11th June 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). The course includes examples of the offences that could have an impact on Senior Management, including the potential for two years in prison for not taking sufficient steps to prevent bribery.

LEARN MORE/REGISTER

11th June 2019 – Anti-Money Laundering Awareness

Time: 1.30pm to 3.30pm

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). The course is also invaluable to MLRO’s that need to have a good knowledge of the UK AML regime to enable them to carry out their role successfully.

LEARN MORE/REGISTER

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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13th June 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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13th June 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.

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14th June 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. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

LEARN MORE/REGISTER

18th June 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:

The FCA continues to be concerned about the ability of firms’ to demonstrate they have sufficient resources, expertise and procedures in place to avoid client money/custody disasters and meet the requirements of the CASS Rules. 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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18th June 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:

The CF10a role carries much responsibility for ensuring the relevant firm keeps up with changes in CASS requirements and is ready to react in the case of another custodian’s failure.

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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19th June 2019 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

Time: 1.30pm to 4:30pm

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

Cost: £399 + VAT

Course Overview:

At least once annually the Money Laundering Reporting Officer (MLRO) is required to produce a report to the governing body of the firm. This course is designed to provide succinct guidance for MLRO in the preparation of the report.

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20th June 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

25th June 2019 - Managing Visits by the Regulator

Time: 9:30am to 4:30pm

Cost: £699 + VAT

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

Course Overview: 

The FCA has tremendous, draconian powers that can do untold damage to your business. So how do you combat this when things go wrong? The course includes examples of the offences that could have an impact on your business and individuals, including the potential for personal fines, prohibition or criminal proceedings.

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26th June 2019 – Managing Capital Adequacy Risk

Time: 9:30am to 11:30pm

Cost: £299 + VAT

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

Course Overview:

The ever-increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having clear understanding.

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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26th June 2019 - Identifying and Managing Conflicts of Interest

Time: 9:30am to 12:30pm

Cost: £399 + VAT

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

Course Overview:

The FCA expects firms to take appropriate and effective steps to avoid conflicts of interest or, at least, manage them properly. The course will examine the FCA’s expectations and the relevant rules, particularly Principle 8 of The Principles for Businesses. You will also explore the implications of these rules for firms from the FCA guidance and thematic reviews.

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26th June 2019 – Corporate Governance in Financial Services Firms

Time: 1.30pm to 4.30pm   

Cost: £399 + VAT

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

Course Overview:

A robust and well-defined governance structure underpins all effective governance frameworks and is key to compliance with the FCA’s requirements in its Systems and Controls handbook (SYSC).

This course will assist delegates in understanding those elements that go to make corporate governance an effective tool within your organisation.

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28th June 2019 - Compliance Induction

Time: 9:30am to 4:30pm

Cost: £699 + VAT

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

Course Overview:

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. 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

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