EBOOK
7 Compliance Risks of PDMR Personal Trading
Are you confident your organisation can identify and manage the biggest compliance risks linked to PDMR personal trading?
When persons discharging managerial responsibilities (PDMRs) trade in their own company’s financial instruments, the compliance stakes are high. From reporting failures and insider dealing risks to breaches of closed periods, even a single misstep can expose both the individual and the issuer to serious regulatory, financial and reputational consequences.
This ebook explains the key risks under the Market Abuse Regulation (MAR) and MiFID II, and outlines practical steps to help your organisation strengthen oversight, improve reporting and reduce exposure.
Have a look at our guide.
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What is discussed in the short guide?
Main legal obligations affecting PDMR personal trading
7 most important compliance risks, including insider dealing, suspicious transactions and closed period breaches
Financial, regulatory and reputational consequences of non-compliance for both individuals and issuers
Practical ways to reduce risk, like trade reporting workflows, monitoring tools and centralised compliance processes
Download the ebook to understand where your biggest PDMR trading risks lie and how to build a stronger, more defensible compliance framework around them.
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