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- Corporate Compliance
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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How To Create A Compliance Risk Assessment Questionnaire
In 2021, the national competent authorities (NCAs) in the European Union issued 366 administrative and 29 criminal measures and sanctions for...
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6 Strategies To Prevent Insider Trading At Your Company
The European Union enacted the Market Abuse Regulation (MAR) to protect the integrity of the markets and provide companies with a framework to...
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