Managing The Rollout of Whistleblower Protection in the European Union
NOT ALL ROADS LEAD TO ROME… The EU Whistleblower Directive, introduced in 2019, provides a critical framework for protecting individuals who expose illegal activities…
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3 Key Insights From Star’s “IAF Made Simple: Your Roadmap to Compliance Success” Webinar
Missed Star's recent webinar, IAF Made Simple? Get the 3 key takeaways on how firms can prepare for upcoming IAF Deadlines in this week's blog.
EU Whistleblowing Decree 2023: How Can You Prepare to Protect Your Employees and Your Reputation?
Since the 2019 EU Whistleblowing Directive came into effect, European authorities have continued to expand legislation to further protect and encourage whistleblowers to come…
The Delay of Ireland’s Senior Executive Accountability Regime (SEAR) for NEDs and INEDs: What Compliance Professionals Need To Know
After the Central Bank of Ireland’s Individual Accountability Framework (IAF) was signed into law in March 2023, a three-month consultation process took place to…
8 Best Practices for Maintaining FCA Compliance
The FCA relies on accurate and timely information from financial firms in order to identify malpractice and monitor their regulatory compliance.
Managing Regulatory Compliance Risk Efficiently Today & Future-Proofing for Tomorrow
When MiFID II was introduced in 2018, it dramatically altered the way sell-side research was issued to the buy-side, especially in the US.
Consumer Duty: Why Individual Accountability and Training & Competency Solutions Matter
In the UK, the Financial Conduct Authority (FCA) is looking to bring higher and clearer standards of consumer protection in retail financial services through…
Financial Regulatory Compliance: What to Know For 2023 – Part 2
In our second blog examining the compliance outlook for financial services firms in 2023, Gary Muchmore, Managing Director at StarCompliance, discusses upcoming legislation for…
Ireland’s Senior Executive Accountability Regime: What Compliance Officers Need To Know
The Republic of Ireland legislature made public updated details of the country’s forthcoming individual accountability regime.