Skip to content
Request a demo

Compliance Resources

Access in-depth reports, expert interviews, templates and more for free.

Featured Resources

Post Picture
  • Market Abuse
  • Checklist

Creating and Managing MAR-compliant Insider Lists

Download our checklist on creating MAR-compliant insider lists. Ensure regulatory compliance, prevent insider trading, and meet Article 18 requirements.
Download

Unfortunately, we couldn't find any results that match your current search parameters.

Post Picture
  • Personal Account Dealing
  • Checklist

MiFID II Compliance Checklist: Everything You Need to Do

This checklist provides the essentials to navigate the complexities of MiFID II compliance, offering practical steps for investment firms, market operators, and service providers within the EU.
Download
Post Picture
  • Personal Account Dealing
  • Ebook

Guide to Managing Personal Account Dealings

Discover the key compliance insights for managing Personal Account Dealings correctly under MiFID II and MAR.
Download
Post Picture
  • Personal Account Dealing
  • Ebook

How to Manage Conflicts of Interest: Risks, Best Practices and Solutions

Read up on how to identify conflicts of interest as well as discover solutions and best practices for managing COIs.
Download
Post Picture
  • Capital Market Regulation
  • Ebook

Market Abuse Regulation: How to Ensure Your Insider Lists Are Compliant

Learn how to ensure your insider lists are compliant with MAR regulations.
Download
Post Picture
  • Capital Market Regulation
  • Ebook

The 6 most common pitfalls of MAR compliance

Download this e-book to discover the most common pitfalls and misconceptions around MAR compliance based on a survey with over 400 companies across Europe.
Download
Post Picture
  • Capital Market Regulation
  • Ebook

The State Of MAR: The Latest Sanctions And Pitfalls

MAR changes on identifying inside information Why regulators find social media concerning EU Non-compliance trends MAR sanctions & pitfalls: Case studies
Download
Post Picture
  • Capital Market Regulation
  • Ebook

4 years of MAR: Sanctions, pitfalls & the future

Discover the main challenges faced by issuers when it comes to Market Abuse Regulation compliance
Download
Post Picture
  • Capital Market Regulation
  • Template

Insider Trading Policy Template

Get your insider trading policy template based on the Market Abuse Regulation. Download and customise it to your internal compliance procedures.
Download
Post Picture
  • Market Abuse
  • Ebook

Market Abuse Regulation Guide for Issuers

What are an issuer's obligation and requirements under MAR? Ensure compliance with the Market Abuse Regulation as an issuer.
Download
Post Picture
  • Market Abuse
  • Ebook

Guide for Advisors on Navigating the Market Abuse Regulation

Discover your responsibiities and obligations under the Market Abuse Regulation as an advisor.
Download
Post Picture
  • Personal Account Dealing
  • Checklist

Personal Account Dealing: Do You Meet the Latest Requirements?

This checklist is invaluable for businesses who are intent on maintaining compliance and avoiding market abuse or manipulation.
Download
Post Picture
  • Corporate Compliance
  • Ebook

Compliance Insights 2024 | Ebook

Dive into the 2024 evolution of the regulatory landscape including forthcoming and already implemented legislative changes.
Download
Post Picture
  • Personal Account Dealing
  • Ebook

Speed up the approval for Personal Account Dealings

Discover the cost of failing to monitor employee trades, 5 pitfalls of not having a pre-clearance system and guidelines for the personal trading policy
Download
Post Picture
  • Personal Account Dealing
  • Ebook

6 Steps to Simplify Employee Trade Pre-Approval

Risks of employee trades, MAR & MiFID II responsibilities
Download
Post Picture
  • Personal Account Dealing
  • Ebook

7 Compliance Risks Of Employee Personal Trading

In the ebook: what the law says about employee personal trading, the 7 risks of failing to monitor employee personal trades and 6 steps to mitigate them
Download
Post Picture
  • Whistleblowing
  • Template

Whistleblowing Policy Template

Get your whistleblowing policy template based on the EU Whistleblowing Directive. Download and customise it to your internal whistleblowing procedures.
Download
Post Picture
  • Whistleblowing
  • Ebook

5 Reasons To Improve Your Whistleblowing Process

This ebook outlines how your whistleblowing process affects your culture and reputation and how to create a robust process that facilitates reporting
Download
Post Picture
  • Whistleblowing
  • Ebook

Essential Guide: EU Whistleblower Directive

This e-book covers the essential topics for any organisation with more than 50 employees to comply with the EU Whistleblower Directive.
Download
Post Picture
  • Whistleblowing
  • Ebook

The Stress-Free Guide To Implementing A Whistleblowing System

Guide to implement whistleblowing system for organisations with 50+ employees. Covers directive's requirements and key questions.
Download
Post Picture
  • Whistleblowing
  • Ebook

The Cost of Non-Compliance and Why Whistleblowers Matter: Case Studies

Discover why whistleblowing is crucial beyond ethics and compliance. Get a 6-point plan & 3 reasons to embrace whistleblowers. Includes case studies.
Download

Subscribe to our newsletter

Stay up to date with the latest news and products

Subscribe
newsletter-subscription-image

Navigate compliance with ease

Subscribe to the Compliance Alliance newsletter to stay up to date 

You have successfully subscribed!

This is your official confirmation. Thank you for joining ComplyLog Newsletter. While you wait for the next issue of ComplyLog, check out the latest articles and references.