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MiFID II: 7 Compliance Risks of Employee Personal Trading

Frequently people who trade securities for a living, e.g., investment bankers, trade in a personal capacity as well. These employee personal trades, however, require specific monitoring under MiFID II and MAR.

What is inside the ebook?

  • What the European Market Abuse Regulation (MAR) and the Markets in Financial Instruments Directive II (MiFID II) say about employee personal trading.
  • Why employee trade monitoring and trade pre-clearance are extremely important.
  • Solutions to automate your employee trade monitoring processes.
  • How to create an employee personal trading policy.

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What else is inside the guide?

What the law says about employee personal trading

The 7 risks of failing to monitor employee personal trades

The 6 action steps to mitigate these risks

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