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Compliance Alliance Blog

Dive into our collection of articles covering everything from insider trading and whistleblowing to general compliance.

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How to Manage Personal Account Dealing in an Era of Stricter FCA Oversight

Regulators around the world are keen to prevent market abuse from creating distrust in the financial system. This endeavour has led to various pieces...
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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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4 Steps To An Effective Compliance Investigation Process

Creating a straightforward and easily accessible misconduct reporting system is essential for maintaining compliance, but you also need to ensure you...
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Top 10 Benefits of a Whistleblowing System

Organisations across Europe have either already put in place whistleblowing reporting channels or are developing their strategy for accepting and...
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This is your official confirmation. Thank you for joining ComplyLog Newsletter. While you wait for the next issue of ComplyLog, check out the latest articles and references.
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How To Create A Compliance Risk Assessment Questionnaire

In 2021, the national competent authorities (NCAs) in the European Union issued 366 administrative and 29 criminal measures and sanctions for...
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Why And How To Develop A Compliance Risk Management Framework

Compliance risk is a shifting landscape that businesses must navigate in order to avoid financial penalties and reputational damage. As regulators...
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How To Fill In Your Compliance Risk Assessment Matrix + Template

Running a company is not just all about getting the product or service out there and bringing in revenue. There are numerous considerations to make...
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How To Stop Employee Harassment + 7 Common Types Of Employee Harassment

The European Observatory of Working Life describes harassment as: “unacceptable behaviour by one or more individuals [that] can take many different...
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