SIA EAGLE Intermediaries - Personal Dealing

The basic principles of the Personal Dealing require that relevant persons, when transacting for themselves, must avoid conflicts of interest.


Relevant persons in the spotlight
The basic principles of the Personal Dealing require that relevant persons engaged in financial markets, when transacting for themselves, must give their clients priority and avoid conflicts of interest.
These rules reflect the purpose of improving the transparency and uniformity of the reporting of financial dealings by providing investors with clear signals about the perception that such persons hold of the company.

Personal Transactions Registry
The Personal Transactions Registry is the official repository of MiFID Relevant Persons and of their transactions and it manages also the full audit trail of the authorization for each transaction.
The Personal Transactions Registry manages all relevant persons relationships, records relevant persons transactions, including the notified one and handle authorizations/blocks related to the transactions.

Corporate Body Members registry and related parties
This registry is the list of all the persons in leading positions in the firm, including all their linked persons and related parties.
This list is managed by financial firms to create lists of relevant persons that, considering their role, could operate subject only to authorisation of the "Board of Directors" or according to other internal procedures.
Compliance is informed of the content of the List in order to perform its monitoring and control activities and to complete the Registry of personal transactions of relevant persons.
SIA EAGLE Intermediaries - The sharp-eyed of compliance tool Download (PDF 453.35 KB)
SIA EAGLE Intermediaries - Personal Dealing Download (PDF 754.62 KB)