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- Financial Crime Prevention
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 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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Measure Conduct Risk: 7 Key Risk Indicators To Track
Conduct risk is a relatively recent arrival on the risk landscape. Of course, people have always broken rules, especially those whereby they can...
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What Is A Closed Period Under MAR And How It Affects Trading
The Market Abuse Regulation (MAR) entered into force in the European Union in July 2016, affecting issuers on both regulated and unregulated...
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