Mastering Compliance Complexities In Asset Management
Effectively Managing MNPI, Market Sounding and Regulatory Challenges The asset management market is experiencing explosive growth, projected to surge from $503.
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Beyond Celebration: A Call to Action for International Women’s Day
International Women’s Day isn’t just about recognition—it’s a call to action.
Navigating the Complexities of Market Abuse Regulations in the EU and UK
The Market Abuse Regulation (MAR) is a critical framework designed to combat market manipulation and insider trading across the EU and UK.
Your Employees Are Probably In The Crypto Markets. Here’s What To Do
Cryptocurrency has come a long way since the advent of Bitcoin. As of early 2025, CoinMarketCap, a leading market tracker, currently lists over 2.
Shedding More Light on the World of Shadow Trading: So Many Questions… We’ve Got The Answers
During our recent webinar, A Regulator & A Prosecutor Walk Into A Bar: Shadow Trading Unveiled, hosted by StarCompliance (Star) for the regulatory compliance community,…
Six Steps For Navigating The SEC’s New Crypto Task Force
Leveraging StarCompliance’s Industry Leadership for Crypto Assets Compliance The Securities and Exchange Commission (SEC) has made a decisive move to address the evolving regulatory…
Got Gamers? Why Financial Services Companies Should Keep an Eye on Employee NFT Transactions
The gaming industry experienced significant growth in 2024 and became one of the largest adopters of non-fungible tokens (NFTs) and cryptocurrencies, exchanging billions of…
Residential Supervisory Locations (RSLs) and Remote Branch Office Exams: Leveraging StarCompliance to Comply with New FINRA Rule
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…
From Cryptocurrency to the Use of AI: Preparing for the SEC Examination Priorities in 2025
Key Insights and Practical Steps for Employee Compliance As the fiscal year begins, the Securities and Exchange Commission (SEC) has unveiled its 2025 Examination…