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.
Employee Conflicts of Interest
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.
Category
Industry
A Deep Dive Into MiCA
Examining Its Approach to Market Abuse in Crypto-Asset Markets.
Navigating Conflicts Of Interest: The Employee Compliance Imperative
Conflicts of interest remain one of the biggest risks in financial services—both for institutions and their employees.
Changing Up The Playbook
The SEC Under the Direction of Paul Atkins As Donald Trump starts his second presidential term and Gary Gensler prepares to step down, Paul…
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.
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…
The Global Cost of Non-Compliance in 2024
Fines, Penalties, and Reputational Damage… Oh My! As 2025 draws near, organizations worldwide are grappling with escalating challenges in employee compliance.
A Cautionary Tale For Broker-Dealers
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…