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…
Fines, Penalties, and Reputational Damage… Oh My! As 2025 draws near, organizations worldwide are grappling with escalating challenges in employee compliance.
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…
The field of compliance has transformed dramatically over the last few decades, driven by rapid advancements in technology—most notably in the form of artificial…
With regulations constantly changing worldwide, understanding Ireland’s Central Bank’s IAF (Individual Accountability Framework) instituted in March 2023 is crucial for business.
Setting Aside Budget for Employee Compliance Efforts
Choosing the right compliance partner can make all the difference In today’s complex regulatory landscape, maintaining compliance is not just a legal obligation but…
This FCA Market Watch is a wake-up call for firms! Firms must build and validate their surveillance models to ensure they function in the correct manner to surface the desired risk.
