Delegated list vs subsidiary list - personal responsibility, pitfalls and practical tips

Delegated list vs subsidiary list – personal responsibility, pitfalls and practical tips

EU has released certain MAR alleviations related to SME Growth Markets (“SMEGMs”). It is clear that the SMEGM insider list alleviations will not apply to the obligations of persons with inside information […]

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When to create different insider lists - flowchart

When to create different insider lists – flowchart

Know when you as an adviser need to create your own insider list (“sub list”) Are you supposed to create an insider list or a subsidiary insider list? Follow the arrows to […]

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Advisers are personally responsible for the MAR subsidiary list

Advisers are personally responsible for the MAR subsidiary list

MAR stipulates that persons with inside information acting on the issuer’s behalf or account must keep their own insider list. Which are the different types of insider lists? (1) Insider lists; are […]

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EU SME Growth Markets alleviations are limited

EU SME Growth Markets alleviations are limited

MiFID II created a new trading venue category, SME Growth Markets (SMEGMs), to facilitate SME financing. Only MTFs where at least 50% of issuers are “SMEs” (i.e. companies with average market cap […]

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Checklist - 7 requirements to comply with MAR

Checklist – 7 requirements to comply with MAR

EU Regulation 596/2014, the Market Abuse Regulation (MAR), is a complex legal framework, which requires substantial resources from the companies being regulated. We have produced a condensed 7-bullet checklist with some of […]

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Handling (inside) information and alternative data

Handling (inside) information and alternative data

Most professionals affected by MAR are aware that, to be classified as insider information, the information needs not only to be considered precise with a likely significant price effect – but also […]

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