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Markets Compliance

We empower Anti-Financial Crime and Corporate Risk Management Professionals

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What Are Suspicious Activity Reports?

Markets Compliance

What Are Suspicious Activity Reports?

May 12, 2023

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?
Risk Analysis Definition

Risk Management, Markets Compliance

Risk Analysis Definition

May 12, 2023

Risk analysis definition. Risk assessment in Markets Compliance, is the assessment focused on important Markets Compliance risks.

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Risk Analysis Definition
The Essential Control Activities

Markets Compliance

The Essential Control Activities: What Are Control Activities?

May 12, 2023

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?
What Are The Control Approaches?

Markets Compliance

What Are The Control Approaches? The Adequate Control Methods

May 11, 2023

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
Insider Lists Definition And Content

Markets Compliance

Insider Lists Definition And Content

May 11, 2023

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
How To File Complaints?

Markets Compliance

How To File Complaints? Complaint Definition And Procedure

May 11, 2023

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
Investment Documentation Requirements

Markets Compliance

Investment Documentation Requirements In KYC

May 9, 2023

Investment documentation requirements. Documentation touches the aspect of investing, from internal documents to contracts with external parties.

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Investment Documentation Requirements In KYC
Information Leaflets

Markets Compliance

Information Leaflets: A Complete Guide About Information Leaflets

May 8, 2023

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
Investment Advice

Markets Compliance

Investment Advice

May 8, 2023

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

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Investment Advice
Appropriate Sales Requirements

Markets Compliance

Appropriate Sales Requirements

May 8, 2023

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

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