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- Capital Market Regulations
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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What are the Benefits of Having a Code of Ethics and Conduct?
Embedding a culture of doing the right thing within an organisation is essential to flourish in the current regulatory environment. With the European...
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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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