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Markets Compliance

We empower Anti-Financial Crime and Corporate Risk Management Professionals

Investment Advice

Markets Compliance

Investment Advice

June 12, 2026

Investment advice. The foundation of the securities industry is fair dealing with clients and providing fair investment advice.

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Investment Advice
What Are Suspicious Activity Reports?

Markets Compliance

What Are Suspicious Activity Reports?

June 12, 2026

What are suspicious activity reports? Markets Compliance Regulations such as MAR extends the scope of the requirement to report suspicious…

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What Are Suspicious Activity Reports?
The Essential Control Activities

Markets Compliance

The Essential Control Activities: What Are Control Activities?

June 12, 2026

The essential control activities. A company needs to establish a mechanism to ensure that they have accounting and risk management controls.

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The Essential Control Activities: What Are Control Activities?
How To File Complaints?

Markets Compliance

How To File Complaints? Complaint Definition And Procedure

June 11, 2026

How to file complaints? Financial consumer protection should be an integral part of the legal, regulatory and supervisory framework.

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How To File Complaints? Complaint Definition And Procedure
What Are The Control Approaches?

Markets Compliance

What Are The Control Approaches? The Adequate Control Methods

June 11, 2026

What are the control approaches? Regulators require companies to have risk management, control procedures to prevent and detect insider trading.

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What Are The Control Approaches? The Adequate Control Methods
What Is Insider Trading?

Markets Compliance

What Is Insider Trading?

June 11, 2026

What is insider trading? Inside information is information of a precise nature, which has not been made public, and relates, directly or indirectly.

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What Is Insider Trading?
Appropriate Sales Requirements

Markets Compliance

Appropriate Sales Requirements

June 11, 2026

The appropriate sales requirements. Products providers or investment companies have an objective to work in the best interest of their customers.

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Appropriate Sales Requirements
Insider Lists Definition And Content

Markets Compliance

Insider Lists Definition And Content

June 11, 2026

Insider lists definition and content. An insider may be a person or persons charged with the execution of orders concerning financial instruments

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Insider Lists Definition And Content
Information Leaflets

Markets Compliance

Information Leaflets: A Complete Guide About Information Leaflets

June 11, 2026

The information leaflet is a formal document that provides details about a share, an investment offering to the potential client or investor.

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Information Leaflets: A Complete Guide About Information Leaflets
Short Trading Regulation

Markets Compliance

Short Trading Regulation: The Short Sale Definition

June 11, 2026

The short trading regulation. The term “short trading or selling” carries significantly different meanings in different jurisdictions.

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Short Trading Regulation: The Short Sale Definition

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