CHECKLIST

Personal Account Dealing: Do You Meet the Latest Requirements?

The UK’s Financial Conduct Authority (FCA) is paying closer attention to the inconsistent application of Personal Account Dealing (PAD) policies, so it is important that businesses understand why monitoring employee trades is essential for  compliance with the Markets in Financial Instruments Directive II (MiFID II).

This checklist is invaluable for businesses who are intent on maintaining compliance with MiFID II and avoiding market abuse or manipulation.

• Step-by-step outline of the PAD topics to address internally.
• Get an overview of potential risks from failing to properly monitor employee personal trades.
• Understand what your Personal Account Dealing policy should include.
• Three case studies of companies that did not meet the requirements of Personal Accounting Dealing.