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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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Creating A Whistleblowing Policy: What, How And Why Now?
The EU Whistleblowing Directive will soon be transposed into national law and your business needs to be compliant. In order to fulfil the directive’s...
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