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- Personal Account Dealing
5 Examples of Conflict of Interest and What We Can Learn from Them
Conflicts of interest can occur in all walks of life, from business to politics and some which straddle both fields. They come about when a person’s...
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Understanding MiFID II and Market Abuse: Top Provisions for Compliance
In the wake of the financial crisis of 2008, the EU began working to restore confidence in the financial markets. The European Commission admitted in...
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Ultimate Guide to Market Abuse Regulation: Everything You Need to Know
The Market Abuse Regulation, introduced in 2016, aims to protect investors by increasing transparency in the financial markets and quelling market...
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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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