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- Market Abuse
5 Ways To Enable Market Abuse Monitoring And Reduce Risk
The Market Abuse Regulation (MAR) is a key piece of legislation for the financial sector in the European Union. It came into force in July 2016 in...
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11 Key Compliance KPIs + Examples (And Why You Should Track Them)
If there ever was a time when people accepted that companies were justified in behaving as they liked as long as they made money, those days are long...
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What Are The Differences Between A Code Of Conduct And A Code Of Ethics?
In terms of corporate compliance, it is common for companies to have both a code of conduct and a code of ethics. Sometimes the terms are used...
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MiFID II Directive Summary For Compliance Professionals
The European Securities and Markets Authority (ESMA) is committed to investor protection. It ensures companies that sell financial products, and...
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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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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...
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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...
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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...
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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...
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