Infographic: Personal Account Dealing Compliance

Personal Account Dealing is an area of inherent risk for any firm in the financial sector. In many cases, employees have the potential to make personal profit from inside information or other information that they became aware of in their professional capacity. 

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5 key steps to prepare for the FCA’s requirements on PAD

The FCA have been highlighting that firms are failing to implement various recommendations in their PAD policies and controls to meet regulatory requirements and avoid market abuse. In order to prevent personal account dealing, firms should ensure preparation for the FCA’s requirements.

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Compliance Officers Foresee the Challenges of 2020

The year has begun, and as a compliance officer, you are probably wondering how to face the challenges of 2020. To help compliance officers the new Thomson Reuters report “10 Things Compliance Officers Need to Do in 2020” was released last week in a webinar, when Susannah Hammond, Senior Regulatory Expert for TR explained the challenges and changes for organizations of all sizes.

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Behavioral Compliance and Ethics

Most people know of behavioral ethics, an area of social science that illustrates how we are not as ethical as we think we are due to different cognitive biases. The field of behavioral compliance and ethics is lesser known. It attempts to use behavioral ethics insights to create and run more effective compliance programs. In a recent post on the FCPA blog, attorney Jim Kaplan offers some ways in which you can apply behavioral compliance and ethics to your corporate compliance program. 

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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 shared its concerns about personal account dealing (PAD), or rather when employees of an authorized firm trade for themselves rather than clients.  

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