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Compliance Resources

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Featured 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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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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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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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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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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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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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 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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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: 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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Compliance Insights 2024 | Ebook

Dive into the 2024 evolution of the regulatory landscape including forthcoming and already implemented legislative changes.
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How To Speed Up The Pre-Clearance Of Employee Trades

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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How to Simplify Pre-clearance of Employee Trades

Risks of employee trades, MAR & MiFID II responsibilities
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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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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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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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Are you ready for the 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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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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Price of Misconduct and Why You Should Embrace Whistleblowers

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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