📉 Capital Market Compliance Without Pitfalls: 5 Common Mistakes – and How to Avoid Them Capital market compliance is not a static set of rules but a dynamic playing field. With each new directive, each regulatory tightening, and each BaFin audit, your area of responsibility grows. But that’s exactly where the pitfalls...
Schlagwort: Compliance
Doing Business in Germany: How to Navigate Compliance Requirements in a Changing Regulatory Landscape Germany’s compliance environment is among the most demanding in Europe — and increasingly so. For UK-based and international firms expanding into the German market, the regulatory bar is rising sharply with the introduction of new EU-wide...
Why Outsourcing a WpHG Compliance Officer is a Strategic Decision Financial institutions operating under the German Securities Trading Act (WpHG) are required to appoint a Compliance Officer to oversee regulatory obligations and ensure adherence to financial market rules. The increasing complexity of financial regulations and growing...
As a C-level executive in 2025, you face a multitude of challenges: from new regulatory requirements to complex risks and increasing responsibilities in the areas of digitalization and compliance. In this article, you will learn why specialized training is essential to successfully manage your tasks and how C-Level Compliance Seminars can...
New as a Compliance Officer – Your Roadmap for the First 100 Days 🧭 Taking Responsibility – with System Starting as a Compliance Officer is a key role in every company. You ensure that internal rules are followed, legal regulations are adhered to, and risks are identified early. In doing so, you are not only […]