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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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  • Market Abuse

The Bank Fined for Forgetting to Report on PDMR Trades

A European bank (Company A) was fined by its country’s regulator following a share issue in which management figures were offered the chance to...
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