Star’s Top 7 Compliance Blogs of 2024
As 2024 comes to a close, we’re reflecting on seven of our most popular blogs from the year. From exploring personal account dealings to uncovering strategies for effectively monitoring potential shadow trading, discover the topics that captured our readers’ interest—and catch up on any you might have missed!
Personal Account Dealing Policy and Compliance
What the FCA has to say about personal account dealing, and how StarCompliance can help.
Compliance Control Room: What Is It And Who Needs It?
One of Africa’s biggest banks need it, and soon enough so may you.
FINRA Gift Rules and Monitoring
Gift-giving and entertaining—commonly known as “wining and dining”—have long been integral to business practices, serving to build relationships and facilitate negotiations.
Understanding FINRA Rule 3210: Essentials for Financial Professionals
Transparency is a fundamental aspect of the financial services industry, essential for building trust and demonstrating accountability.
Pay-to-Play Compliance Requirements [Rule 206(4)-5]
The Advisers Act Rule 206(4)-5 isn’t breaking news, but it is serious enough to warrant a refresher. Here, we’ll review what Rule 206(4)-5 is, why it matters, and how you can ensure your own compliance.
Shadow Trading: How to Monitor For This New Compliance Risk
What is shadow trading, and what can compliance teams do about it? Star’s Head of Business Development and veteran compliance officer Steve Brown recommends…
The Challenges of an Election Year: Monitoring Political Contributions in 2024
Navigating the intricacies of political contributions in the 2024 election cycle poses a challenge for compliance teams trying to mitigate risks.
