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What Is Conduct Risk In Banking Today? (And How To Manage It)
The global financial crisis of 2008 drove repercussions across all sectors and provoked a culture shift in how institutions approach conduct risk in...
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How to Write a Company Code of Conduct in 6 Simple Steps
Legislators continually attempt to eradicate misconduct in the workplace. For example, the European Union implemented a range of laws in recent...
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Checklist: How to Measure the Effectiveness of Whistleblowing
Whistleblowing is an effective tool for uncovering or preventing illegal activity in the workplace. With corruption alone costing the European Union...
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Why You Should Allow Anonymous Reporting In The Workplace
Anonymous whistleblowers are responsible for exposing misconduct in all areas of life. On one end of the spectrum, there is the ‘John Doe’ who...
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MiFID II Dealing On Own Account: A Summary Of The Key Points
When MiFID II entered into force across the European Union on 3 January 2018, it showed intent from lawmakers in the union to instil trust in the...
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This is your official confirmation. Thank you for joining ComplyLog Newsletter. While you wait for the next issue of ComplyLog, check out the latest articles and references.
6 Proven Ways to Prevent Unethical Behaviour in the Workplace
According to a recent survey, 15% of European workers are aware of current unethical practices within their organisations. However, this does not...
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7 Best Practices to Manage and Mitigate Pre-Trade Risk
Pre-trade risk can result from human error when inputting incorrect figures in buy or sell orders. Whether it is related to the volume, value or size...
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How To Build A Speak-Up Culture From Scratch
The EU Whistleblowing Directive was introduced to protect those who report wrongdoing in the course of their work because “potential whistleblowers...
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The Big List Of Whistleblower Interview Questions + Tips
Under the EU Whistleblowing Directive, qualifying entities must provide an internal whistleblowing reporting system that allows employees and other...
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