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- Personal Account Dealing
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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How Do You Manage a Conflict Of Interest As A Compliance Officer?
As a compliance officer, it is likely that you will encounter a conflict of interest every so often. With large organisations and complex structures,...
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Preparing A Compliance Report: What Should You Include?
Being compliant with current legislation and being seen to be compliant are both essential in modern business. The regulatory environment is...
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How To Set Compliance Plan Objectives That Bring Results
In a constantly shifting regulatory environment, being able to conduct risk assessments is not enough. Organisations must also gear up to protect...
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How to Investigate a Whistleblower Complaint in the EU
The majority of businesses and municipalities in the European Union will either already be subject to compliance with the EU Whistleblowing Directive...
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7 Steps To Develop A Robust Compliance Strategy + Example
Authorities around the world are tightening regulations to prevent illegal activities such as money laundering, market manipulation and insider...
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How To Choose Regulatory Compliance Management Tools For Your Organisation
Companies are facing increasing regulatory pressure to tighten up their compliance procedures. Even just within the EU, in recent years they have had...
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