1 2 3 4 5 6 7 8 9
- Capital Market Regulations
The Ultimate Guide to MiFID II Compliance for Your Team
The original Markets in Financial Instruments Directive (MiFID) came into force in November 2007, aiming to “eliminate barriers to cross-border...
Read More
Whistleblowing Screening vs Case Handling for Advisors
After a prolonged process to implement the EU Whistleblowing Directive into national laws across the European Union, all member states have now...
Read More
Article 8 of the EU Whistleblowing Directive: What Advisors Should Know
The EU Whistleblowing Directive was enacted to protect whistleblowers in the EU and to ensure that businesses followed up on reports of compliance...
Read More
6 Insider Trading Examples to Help You Spot Misconduct
The Market Abuse Regulation (MAR) was introduced to improve transparency and trust in the capital markets across the European Union. The use and...
Read More
Whistleblowing Compliance: Why Advisors Should Offer More Than Advice
The EU Whistleblowing Directive was conceived to formalise the way in which companies in EU nations manage reports of wrongdoing made by internal...
Read More
How to Avoid Conflict of Interest in the Workplace
When the original Markets in Financial Instruments Directive (MiFID) came into effect, it required that investment firms manage and mitigate...
Read More
4 Interesting Examples of Whistleblowing in the Workplace
The EU Whistleblowing Directive, which came into force in 2019, will be adopted by all member states by December 2021, setting a tight compliance...
Read More
How To Meet The EU Whistleblowing Directive's Requirements For Company Groups
When the European Union proposed its EU Whistleblowing Directive, requiring legal entities to provide whistleblowing reporting channels for...
Read More
How to Manage Board of Directors’ Conflict of Interest
Directors take on a fiduciary duty as a result of their position in a company and this obligation to act in the best interests of the organisation...
Read More
Sign up for our newsletter
Stay up to date with the latest news and products