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- Personal Account Dealing
5 Risky Types of Conflict of Interest + Best Practices
For businesses, conflicts of interest are fraught with risk. From financial losses to reputational damage, when employees are not solely acting in...
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5 Examples of Conflict of Interest and What We Can Learn from Them
Conflicts of interest can occur in all walks of life, from business to politics and some which straddle both fields. They come about when a person’s...
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Understanding MiFID II and Market Abuse: Top Provisions for Compliance
In the wake of the financial crisis of 2008, the EU began working to restore confidence in the financial markets. The European Commission admitted in...
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Ultimate Guide to Market Abuse Regulation: Everything You Need to Know
The Market Abuse Regulation, introduced in 2016, aims to protect investors by increasing transparency in the financial markets and quelling market...
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How to Write a Conflict of Interest Policy + Template
Conflicts of interest can cause significant negative repercussions for businesses when allowed to continue unchecked. These include compliance risks,...
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How To Create A Solid Employee Personal Trading Policy
An employee trading policy, also referred to as a Code of Ethics or Code of Conduct, is designed to prevent financial workers from using confidential...
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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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How to Manage Compliance Documents and Reduce Paperwork
Thomson Reuters’ 2023 Cost of Compliance Report found that 73% of compliance leaders felt that the amount of regulatory information would increase...
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RegTech for Compliance? Here Is Why It Is So Popular
Nearly a fifth (18%) of global systemically important banks (G-SIBs) that use RegTech cite regulatory approach as the most significant challenge of...
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