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…
Personal Trading
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Personal Account Dealing Policy and Compliance
What the FCA has to say about personal account dealing, and how StarCompliance can help.
The Importance of Monitoring in Employee Trading Compliance
On April 12, 2024, the financial industry was reminded of the critical importance of strong compliance monitoring when FINRA announced that Barclays Capital Inc. had been censured and fined $700,000.
Automate Personal Account Dealing Reconciliation: The Importance of Electronic Broker Feeds to the Modern Compliance Officer
We recently sat down with Mark Robinson, Director, Technical Services at StarCompliance, to find out how broker feeds on the STAR platform enable clients…
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.
What Proposed Changes To Rule 10b5-1 Mean For Compliance Teams
SEC Rule 10b5-1, which governs stock trading plans by company insiders, could be getting an overhaul.
Are Your Employees Illegally Trading Company Stock?
Whether it’s through proposed amendments to existing rules or novel ways in which to approach such activity, the SEC continues to be laser focused…
Why Broker Feeds Are Such A Compliance Game Changer
Increased speed. Increased ease. Increased accuracy. Decreased risk.
Dodgy Investments And Drift Prevention
Five more key takeaways from the Star US User Conference