Risk and Compliance Insights | Employee Personal Trading - Page 2 | MyComplianceOffice

Posts about Employee Personal Trading (2):

MCO enables firms to effectively manage digital asset risk

Technology Gives Firms a Better Handle on Managing Digital Asset Risk

Technology has given financial services employees access to a much broader range of digital assets,...

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MCO's Personal Trade Manager enables firms to mitigate insider trading and personal account dealing risk.

Mitigate Employee Insider Risk With Compliance Technology

Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the...

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A Spotlight on SGX-Listed Companies’ Regulatory Compliance

A Spotlight on SGX-Listed Companies’ Regulatory Compliance

Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed...

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Capturing Employee Personal Trades

Automating the monitoring of employee personal trade accounts requires the capture of trade data in...

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HK SFC enforces employee dealing non-compliance

Hong Kong SFC enforces Employee dealing non-compliance

The Hong Kong Securities regulator - The Securities and Futures Commission (SFC) has suspended the...

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FCA on Personal Account Dealing Compliance

The Financial Conduct Authority (FCA) issued Market Watch 62 in October in which the regulator...

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