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GUIDE

Guide to Managing Personal Account Dealings (PAD)

Key Insights for Investment Management Firms

What is inside this guide?

  • The guide provides a definition of Personal Account Dealing (PAD) and outlines the monitoring of employee personal trading
  • It describes the scope of the Markets in Financial Instruments Directive II (MiFID II) 
  • It elaborates on the key the obligations of Investment Firms related to managing PAD and conflicts of interest
  • The guide discusses risks and challenges related to employee personal trading, and its monitoring

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What else is discussed in this guide?

The 5 key compliance challenges related to employee personal trading

Penalities for non-compliance with MiFID II

Actions to stay compliant and avoid sanctions by the regulator

How companies can digitise their employee trade monitoring process

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Guide to Managing Personal Account Dealing