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

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  • Capital Market Regulations

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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8 RegTech Trends and How Companies Can Benefit

With legislative concerns at the top of compliance teams’ to-do lists, there has never been a greater call for innovative solutions to help...
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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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What Are Market Soundings Under the Market Abuse Regulation?

The EU’s Market Abuse Regulation (MAR) came into effect in July 2016, with the European Securities and Markets Authority (ESMA) defining the rules...
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