Advisers Are Personally Responsible for The MAR Subsidiary List
Compliance Regulations & UpdatesIf advisers access inside information, they must maintain sublists. Issuers remain fully responsible, even when insider list duties are delegated.
Tag: Regulatory Checklist
Streamline compliance efforts with detailed checklists. Ensure nothing is overlooked in meeting regulatory obligations.
2 min
May 24, 2019 Advisers Are Personally Responsible for The MAR Subsidiary List
If advisers access inside information, they must maintain sublists. Issuers remain fully responsible, even when insider list duties are delegated.