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collection of legal texts related to the topic; no claim to completeness

advice and information on courses and training programmes related to the topic

Unterforen: General Principles, Operational Arrangements and Compliance Charter, Specific Responsibilities and Scope of the Compliance Function, Person responsible for the Permanent Compliance Function, Use of Third-party Experts or Technical Means, Obligations regarding the Drawing-up of Reports

rules and practices to prevent bribery and corruption within the organization and its dealings with external parties

process of identifying, addressing, and mitigating situations where an individual's or organization's personal interests could improperly influence their professional decisions or actions; maintain integrity, trust, and transparency; helps safeguard ethical standards and promotes fairness in decision-making processes
Unterforen: Conflicts of Interest Policy, Keeping a Record of Conflicts of Interest, Obligation to Inform Investors (Disclosure)

refers to the processes and techniques used to identify and prevent illegal activities; can include fraud, ML/TF, insider trading, and other forms of financial misconduct; aims to protect the integrity of the financial system and prevent economic losses

employee training programs on Compliance practices, keeping staff updated on new regulations and trends, role-specific training for different departments