Risk and Compliance Insights | MyComplianceOffice | Insider Trading

Posts about Insider Trading:

MCO helps firms manage insider information and insider lists

Insider List and Information Management Under MAR

In effect since July of 2016, the European Market Abuse Regulations (MAR) are EU regulations...

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4 Conflicts of Interest Examples (and Solutions) Across APAC

A conflict of interest happens in financial firms when an employee, executive, or director has...

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ASIC Insider Trading Case: Fund Manager Gets 6 Years' Imprisonment

Fund Manager Gets 6 Years' Jail: ASIC Insider Trading Case

The Federal Court in Sydney has sentenced a former investment manager for an ASX-listed asset...

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An open-plan office with six people at desks with computers. Bright lighting, glass walls, and red chairs create a modern, collaborative atmosphere.

Compliance Software for the Financial Control Room

Managing a financial trading control room involves balancing a wide variety of tasks. To comply...

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Managing Insider Information is the Key to Managing Trading Risk

Employees who work at firms in the financial services industry are privy to sensitive information...

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SFC Issues 3-Year Ban of Former Licensee Over Trading Conduct

Hong Kong’s Securities and Futures Commission (SFC) has banned a former licensed representative of...

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A judge's gavel rests on a wooden block in front of a legal book, with scales of justice in the background, symbolizing law and fairness.

Conviction of Former Judge Over Insider Trading in Japan

The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4...

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Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K

A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing...

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MyComplianceOffice dashboard for managing blackout periods and insider trading risk

Blackout Periods and Insider Trading Risk for Listed Companies

Insider trading cases have seen a variety of sentences over the years. However, some jurisdictions...

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