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

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  • Personal Account Dealing

The 6 Steps to Faster and Simpler Personal Account Dealing Compliance

After understandable volatility in the world’s capital markets last March, the recovery took hold throughout the second half of 2020 and into 2021,...
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MiFID II Dealing On Own Account: A Summary Of The Key Points

When MiFID II entered into force across the European Union on 3 January 2018, it showed intent from lawmakers in the union to instil trust in the...
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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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