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Compliance Alliance Blog

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Dive into our collection of articles covering everything from insider trading and whistleblowing to general compliance.

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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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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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