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Compliance Failures

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Browse real-life case studies, examining the disastrous financial and reputational implications of insider trading, mistreatment and other forms of misconduct.

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  • Insider Trading

Asset Management Company and its Owner Fined for Insider Dealing

The owner of an asset management company (hereafter referred to as Company A) admitted that both he and the business had committed insider dealing....
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AMF Issues Market Abuse Regulation Penalties Worth Millions of Euros in France

The Autorité des Marchés Financiers (AMF), France's financial markets authority, has imposed penalties totalling several million euros on three...
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