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5 Employee Personal Trade Monitoring Challenges (And How To Prepare)
With such a large volume of transactions flowing through the European markets, trade surveillance is essential. For the sake of fairness, stakeholder...
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MAR & MiFID II: What You Need to Stay Compliant & Prevent Insider Trading
In November 2021, the European Securities and Markets Authority (ESMA) released its report on the sanctions imposed for market abuse in 2020....
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The 7 Behaviours That Qualify As Market Abuse
Even with a solid understanding of the Market Abuse Regulation (MAR), it may still be difficult to understand what is considered market abuse. That’s...
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How To Meet The EU Whistleblowing Directive's Requirements For Company Groups
When the European Union proposed its EU Whistleblowing Directive, requiring legal entities to provide whistleblowing reporting channels for...
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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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How To Prevent Discrimination In The Workplace
Understanding how to prevent discrimination in the workplace has been a key policy area for the European Union over the last half-century. Since the...
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Market Abuse Regulation: PDMR Transactions and Notifications
The Market Abuse Regulation (MAR) has been designed to prevent and detect market abuse, market manipulation and insider dealing. It replaces the...
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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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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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