Insider Trading
Insider trading can cause firms huge reputational damage and severe regulatory penalisation if they allow themselves to be used for the purpose of financial crime. With a variety of regulations coming not only from their home state regulators but from Europe in the form on EU Directives, firms must ensure that they have adequate systems and controls in place to keep on top of their employees trading if they are to avoid and prevent market abuse.
Examiner
Our solution for monitoring personal account dealing, is an enterprise wide solution that empowers compliance officers to proactively detect and manage potential risks. With over 1,000 reporting combinations, the ability to monitor gifts and entertainment and complete required employee certifications, Examiner allows you to be confident that you have the correct procedures in place to deal with and prevent insider trading, market abuse as well as bribery and corruption.
For more information on Examiner, please download our Examiner brochure.
eLearning
Financial institutions have a duty to ensure that their staff are aware of market abuse and insider trading and understand the correct procedures for airing their concerns.
Our Combating Market Abuse eLearning course helps to educate staff on the illegal usage of market-sensitive information for financial gain, with the aim of protecting your organisation against the threat of market abuse, and minimising the occurrence of financial crime within the firm.
Course Content
- Obligations under the Market Abuse Directive and the Code of Market Conduct
- The seven behaviours that can amount to market abuse
- The use of 'safe harbours'
- The penalties of market abuse
For more information on our Combating Market Abuse course or to browse our extensive library of compliance courses, please download our eLearning Brochure
Compliance Resource Network
Want to keep up to date with all the latest insider trading news?
The Compliance Resource Network provides a comprehensive daily news service ensuring you keep up to date with regulatory, enforcement, and global issues. Written by an in house team of compliance professionals you can be assured that the information provided online and accompanied by a daily newsletter is relevant and timely saving you valuable resources.
In addition the news is supported with key summaries and analysis of regulatory issues in the form of expert comment, analysis, white papers and best practice guides. Written by industry practitioners, in house subject matter experts, law firms and commentators you can again be assured that the quality is of the highest standard.
As well as industry news and analysis you will also find supporting material in the form of fully searchable comprehensive rulebooks (eg. FSA Handbook, EU Directives, Takeover and Mergers Code of Practice etc) as well as relevant consolidated UK Acts of Parliament (e.g. Bribery Act, FiSMA, Proceeds of Crime etc)
All this is supported by a platform which has fantastic functionality allowing you to search in detail, set you own research folders, save to text in PDF or HTML form, email to colleagues and print as well as setting up email tracker alerts on chosen sectors or topic of your choice.
