The Directive 2003/6/EC demands that investment services providers carry out appropriate controls to expose infringement of market abuse and insider dealing regulations. Based on this Directive and other legal requirements, other measures such as the code of conduct, guidelines on compliance and general principles for trading by employees have been introduced by BaFin and SEC. The investment services providers are obliged to carry out the controls described in the laws and directives, to detect insider trading and market abuse promptly and to document it.