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…
Regulations
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
Navigating the Individual Accountability Framework: Compliance Tips for Financial Firms
Since the 2008 global financial crisis, the shift toward greater accountability has been monumental and ongoing, with new regulations emerging nearly every year since.
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…
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…
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…
Crypto Institutionalizes and Matures
Preparing Compliance Teams for Emerging Challenges 2024 has been a year of maturation for cryptocurrency.
What A New Administration Taking Office in January Could Mean For Regulatory Compliance
Can The Past Inform The Future? With a new administration on the horizon, businesses are bracing for significant changes that could reshape the regulatory…
Shadow Trading Part Deux: SEC Doubles Down on Shadow Trading Theory
The Securities and Exchange Commission (SEC) has made significant strides in its enforcement efforts against insider trading, particularly in the realm of “shadow trading.