MiFID II: 7 Compliance Risks of Employee Personal Trading
Frequently people who trade securities for a living, e.g., investment bankers, trade in a personal capacity as well. These employee personal trades, however, require specific monitoring under MiFID II and MAR.
What is inside the ebook?
What the European Market Abuse Regulation (MAR) and the Markets in Financial Instruments Directive II (MiFID II) say about employee personal trading.
Why employee trade monitoring and trade pre-clearance are extremely important.
Solutions to automate your employee trade monitoring processes.
How to create an employee personal trading policy.
Download your ebook
What is inside?
What the law says about employee personal trading
The 7 risks of failing to monitor employee personal trades
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