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- Capital Market Regulations
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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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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MiFID II Directive Summary For Compliance Professionals
The European Securities and Markets Authority (ESMA) is committed to investor protection. It ensures companies that sell financial products, and...
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5 Features Your Trade Pre-Clearance System Should Have
Having a robust trade pre-clearance system is essential for investment firms with regard to compliance with the Market Abuse Regulation (MAR) and...
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How To Conduct Compliance Risk Analysis And Draw Insights
Organisations today face an ever-changing business environment. On one hand, authorities are continuously implementing and tweaking legislation and,...
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The 20 Compliance Culture Questions To Ask In Your Next Survey
Deloitte states that “building a culture of ethics and compliance within an organisation is a business imperative.” And one of the key elements for...
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