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Compliance Resources

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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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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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Compliance Insights 2024 | Ebook

Dive into the 2024 evolution of the regulatory landscape including forthcoming and already implemented legislative changes.
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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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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.
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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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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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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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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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