Guide
Advisors' Guide to the Market Abuse Regulation
Key Insights for Compliance Professionals
What is inside this guide?
- This guide is specifically created with Advisors and their obligations under MAR in mind.
- It elaborates on Market Soundings, when to conduct them as well as the specific requirements of recording a Market Sounding.
- The guide describes an advisor's obligation to manage insider lists.
- It also covers delayed disclosure and unlawful disclosure of inside information (material non-public information).
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What else is discussed in this guide?
- The 7 behaviours that qualify as market abuse
- Sanctions and penalties of market abuse
- Learn when to draw up event-based vs permanent insider lists
- How to stay compliant and simplify MAR compliance with automated insider list management
