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- Personal Account Dealing
How To Manage Employee Personal Trading Compliance
To strengthen the control over personal transactions and prevent insider trading, the European Securities and Market Authority (ESMA) has mandated...
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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 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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Top 10 Benefits of a Whistleblowing System
Organisations across Europe have either already put in place whistleblowing reporting channels or are developing their strategy for accepting and...
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