Enrich your compliance vocabulary and gain a deeper understanding of regulatory compliance terminology.

Conflict of Interest

What Is a Conflict of Interest?
A conflict of interest is when a company individual’s personal interests take precedence or could otherwise compromise their duty to the company or its clients.

Delayed Disclosure of Inside Information

What Is Delayed Disclosure of Inside Information?
Delayed disclosure of inside information refers to the right of issuers or participants in emission allowance markets to withhold inside information on legitimate grounds.

Employee Trade Surveillance System

What Is an Employee Trade Surveillance System?
An employee trade surveillance system is a software platform used to monitor the trading activities of financial firm employees to prevent market abuse and ensure fairness.

Insider List

What Is an Insider List Under MAR?
The purpose of insider lists is to ensure compliance with financial market regulations and prevent insider trading.

Insider Trading

What Is Insider Trading?
Insider trading is when a person in possession of confidential information uses it to gain an unfair advantage in the financial markets. The involved party will typically buy or sell a public company’s financial securities, or encourage a third party to do so, based on material information unavailable to anyone else in the market.

Internal vs External Whistleblowing

What Is Internal vs External Whistleblowing?
Internal whistleblowing is the act of reporting any workplace misconduct to a designated person or department within the organisation. External whistleblowing is when the whistleblower reports their concerns to a third party, unconnected to the organisation in which the alleged offence occurred.