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How To Manage Employee Personal Trading Compliance
To strengthen the control over personal transactions and prevent insider trading, the European Securities and Market Authority (ESMA) has mandated...
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5 Employee Personal Trade Monitoring Challenges (And How To Prepare)
With such a large volume of transactions flowing through the European markets, trade surveillance is essential. For the sake of fairness, stakeholder...
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How To Create A Solid Employee Personal Trading Policy
An employee trading policy, also referred to as a Code of Ethics or Code of Conduct, is designed to prevent financial workers from using confidential...
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How to Manage Personal Account Dealing in an Era of Stricter FCA Oversight
Regulators around the world are keen to prevent market abuse from creating distrust in the financial system. This endeavour has led to various pieces...
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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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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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The 6 Steps to Faster and Simpler Personal Account Dealing Compliance
After understandable volatility in the world’s capital markets last March, the recovery took hold throughout the second half of 2020 and into 2021,...
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How To Level Up Your Employee Trading Pre-Clearance Process
There are many occasions when investment companies and their employees will be in possession of inside information. The Market Abuse Regulation (MAR)...
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