Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.Outside Activity
Avoid regulatory compliance breaches arising from employee external business activities.Private Investments
Simplify the declaration of employee private investments with outside organizations.Insider Trading
Actively manage employee trading in the context of current market activity and news events to guard against insider trading and protect your company’s reputation.Political Donations
Save time and resources safeguarding your business from conflicts of interest arising from political alignments or associations among employees worldwide.
01 Jun, 2023
The news agenda never stands still, and the regulatory landscape constantly shifts in its wake – the introduction of new and updated regulations is frequently event-driven, with legislation enacted in response to bad news, such as economic crises, geopolitical disruption, and large-scale financial crime.
18 May, 2023
The FCA relies on accurate and timely information from financial firms in order to identify malpractice and monitor their regulatory compliance. Failure to comply can result in severe consequences, not least of all significant fines. Use the recommendations in this guide to prepare your FCA reports and stay compliant.
10 May, 2023
When MiFID II was introduced in 2018, it dramatically altered the way sell-side research was issued to the buy-side, especially in the US. Specifically, European sell-side firms were required to unbundle trading and research, forcing almost all asset managers to pay for research in cash only. This is in direct contrast to the US, where it has been standard practice for buy-side firms to pay for research via order flow or commissions and doesn’t permit broker-dealers to receive cash remuneration.