As Australia’s regulators increasingly clamp down on incidents of alleged market conduct, companies should be increasing their monitoring of trading activity by company officers and employees. The result of increased focus means companies should be reviewing and reinforcing their share trading and handling of price-sensitive confidential information policies and control infrastructure to ensure full compliance.
Forensics’ Market conduct advisory services helps clients proactively assess the strength of their compliance programs and control systems and can provide recommendations to assist in the assessment and remediation of regulation breaches. We can also assist in the development of appropriate controls and procedures to manage the handling of price sensitive and confidential information and undertake specialist and targeted investigations where a ‘leak’ of such information has occurred.
Adopting a proactive approach to testing can assist companies to actively prevent circumventions of their compliance programs, and is usually far more cost-effective than a reactive approach. Non-compliance with regulatory requirements (both domestic and international) may result in significant financial loss and reputational risk across jurisdictions in which an organisation operates.
Other financial crime services
Bribery and corruption
Find out more
To find out more about our market conduct advisory services, and receive an information sheet, please fill in this form: