London Governance & Compliance Academy
Introduction Insider dealing and market manipulation are two prominent, yet unethical practices in financial markets. Insider dealing refers to the trading of a public company’s stock or other securities by individuals with potential access to non-public, price-sensitive information. This practice, viewed as an infringement of fair market operations, is strictly regulated by a strong regulatory […]
What is The Sustainable Finance Disclosure Regulation? SFDR represents a key pivot in the realm of financial transparency. Implemented by the European Union in March 2021, SFDR is a part of a broader action plan to integrate environmental, social, and governance (ESG) considerations into the financial decision-making process. The regulation necessitates financial market participants and […]
Introduced in the UK from 2016 by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), the Senior Managers and Certification Regime (SM&CR) is a regulatory framework designed to enhance the accountability and conduct of individuals working in the financial services industry. SM&CR replaced the Approved Persons Regime (APR) that applied to certain […]
