Get the latest insights, news and opinion from the compliance technology specialists. Find out what’s new, what’s changing and what the future holds in the world of corporate compliance, market abuse and conflict of interest regulations and technology.
FINRA’s Residential Supervisory Location (RSL) rule allows firms to designate an associated person’s private residence as a non-branch location where certain supervisory activities are…
Key Insights and Practical Steps for Employee Compliance As the fiscal year begins, the Securities and Exchange Commission (SEC) has unveiled its 2025 Examination…
Is your firm prepared for this and future regulatory milestones? With the Senior Executive Accountability Regime (SEAR) extending to non-executive and independent non-executive directors…
A recent PitchBook article highlights that bankers and analysts foresee another active year for the credit market in 2025.
Fines, Penalties, and Reputational Damage… Oh My! As 2025 draws near, organizations worldwide are grappling with escalating challenges in employee compliance.
Star’s third annual awards highlight outstanding contributions to the compliance industry, with nominations received worldwide ROCKVILLE, MD.
StarCompliance’s Approach to Client Governance In the highly competitive, ever-evolving world of employee compliance technology, maintaining strong client relationships isn’t just a priority—it’s a…
As 2024 comes to a close, we’re reflecting on seven of our most popular blogs from the year.
FINRA Charges Firm for Supervisory Failures In October, ViewTrade Securities, a broker-dealer, found itself facing regulatory action by FINRA, worth $40,000 in fines, for…
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