SEC Charges Investment Bank and Former ECM Syndicate Banker with “Bought Deal” Fraud
In 2024, the SEC charges Investment Bank for violations preventing the misuse of material, nonpublic information. Find out what happened and how you can prevent it.
MNPI & Enterprise Conflicts
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.
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Star’s Top 10 Compliance Blogs of 2023
With 2024 now well underway, we take a look back at ten of our most popular blogs from 2023. From regulatory developments to getting the most out of the STAR platform, find out what grabbed our readers’ attention – and catch up on some of the topics you might have missed the first time around.
SEC Charges Investment Adviser for Policies and Procedures Failures
Late last year, (December 26, 2023), the Securities and Exchange Commission (“SEC”) settled charges against OEP Capital Advisors, L.
SEC vs Virtu: Why Firms Need to Maintain Robust Information Barriers
In September this year, the Securities and Exchange Commission (SEC) filed a civil lawsuit against Virtu Financial, one of the world’s largest electronic trading…
Part 2 | Retiring the Swivel Chair: Making MNPI Easier to Monitor for Private Equity
In the second of two blogs regarding the “swivel chair” Compliance professionals experience when monitoring access to material, nonpublic information (“MNPI”) –– we reference…
The Importance of Market Abuse Surveillance
Market abuse covers a wide range of behaviors that serve to manipulate investors, give brokers an unfair advantage, or disrupt the market’s trajectory—so you…
Retiring the Swivel Chair: Making MNPI Easier to Monitor for Asset Management Firms
Monitoring access to material, nonpublic information (“MNPI”) is too often managed in a ‘swivel chair’ –– Compliance professionals referencing multiple applications, emails, excel sheets,…
How to Maintain FCPA Compliance
Bribery and corruption, unfortunately, pose a risk in any business dealings, but the lines can blur when it comes to liaising with foreign officials. Here, the StarCompliance team offers a guide to maintaining airtight FCPA compliance.
Casting Further Light on Shadow Trading
When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy the company he worked for, he is alleged to…