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Compliance Resources

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Featured Resources

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  • Capital Market Regulation
  • Checklist

Managing Capital Markets Compliance in Turbulent Times

Read this quick checklist to help you stay compliant with capital market regulations, especially during times of market volatility.
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  • Capital Market Regulation
  • Ebook

Advisors' Guide to MAR Insider Lists: Challenges & Solutions

In this ebook, you will discover the challenges that apply to advisory firms, the most effective solutions, and real-life cases of non-compliance.
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  • Corporate Compliance
  • Ebook

Compliance Insights 2025

Discover the major regulatory updates shaping the capital market in 2025. The 2025 edition is written in collaboration with Baker McKenzie.
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  • Capital Market Regulation
  • whitepaper

Competitive Comparison for Insider List Management: Software vs. Manual Methods

Get insights on how a dedicated insider list management solution can transform the management of insider lists.
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  • Whistleblowing
  • whitepaper

Whistleblowing Case Handling: An Opportunity for Advisors

Discover the opportunities that handling whistleblowing cases for your clients brings you as an advisor.
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  • 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.
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  • 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.
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  • 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.
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  • 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.
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  • 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.
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  • 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.
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  • 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
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  • 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
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  • 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.
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  • 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.
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  • 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.
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  • 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.
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  • Corporate Compliance
  • Ebook

Compliance Insights 2024

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

6 Steps to Simplify Employee Trade Pre-Approval

Risks of employee trades, MAR & MiFID II responsibilities
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  • 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
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  • 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.
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  • 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
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  • 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.
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  • 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.
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  • 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.
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