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- Market Abuse
Managing Insider Lists as an Advisor: 5 Challenges and Solutions
The EU Market Abuse Regulation (Regulation (EU) No 596/2014), commonly referred to as MAR, imposes strict requirements on individuals and firms who...
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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...
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How to Choose Regulatory Compliance Management Tools for Your Company
Companies are facing increasing regulatory pressure to tighten up their compliance procedures. Even just within the EU, in recent years they have had...
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How to Prevent Financial Misconduct at Your Organisation
The Financial Markets Standards Boards recently undertook an analysis of financial misconduct within the global markets. It found that the types of...
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Advisor's Checklist: MAR Insider List Management
The European Union’s Market Abuse Regulation (MAR) was implemented to preserve the integrity of the capital markets by placing certain obligations on...
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4 Reasons You Need A Market Abuse Policy (And How To Create One)
Organisations around the European Union are increasingly aware of the need to strengthen their internal policies to ensure compliance with a range of...
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Ethical Dilemmas in Whistleblowing: A Guide for Advisors
The European Union introduced the EU Whistleblowing Directive to create robust protection for people who report breaches of EU law that they uncover...
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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...
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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...
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