How to Simplify Pre-clearance of Employee Trades

What’s inside the guide?

  • What are the risks related to employee trades?
  • Your responsibilities under MAR and MiFID II
  • Why you’re supposed to record phone conversations

What else is inside the ebook?

  • The one thing that will help you stay on the right side of the law
  • 6 steps to simplify employee trading pre-clearance
  • What you should know about record-keeping
Cover Compliance Guide Simplify Pre-Clearance Employee Trades

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