How the EU Listing Act Might Change MAR Compliance
In December 2022, the European Commission (EC) presented three proposals for facilitating an easier and less burdensome route onto the EU’s public...
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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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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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