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- Whistleblowing
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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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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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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