StarCompliance Strengthens Commitment to Innovation with appointment of New Chief Product Officer
Kelvin Dickenson joins Star as Chief Product Officer Driving Product Leadership Forward ROCKVILLE, MD.
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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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Using Data to Monitor Employee Conduct in the Wake of Bonus Cap Increases
As Bonus Caps Increase, So Could Risk Barclays recently became the first major British bank to significantly raise the bonus caps for its senior…
The Past, Present & Future of Political Donations
How the SEC’s ‘Look Back’ Provision Can Affect Employee Compliance Recently, the US Securities and Exchange Commission (SEC) charged Obra Capital Management, LLC with…
Featured Resource
Necessity Drives Innovation
In this executive brief, we reflect on the past challenges compliance teams have faced, their significant achievements, and the innovative technologies that have shaped the regulatory landscape we navigate today.
What Is Whistleblowing? Everything You Need To Know
It takes courage and conviction to come forward with potentially damaging information about a company.
Give A Compliance Officer A Hug!
Recognizing the unsung heroes of corporate compliance On September 26th, International Compliance Officer Day, we honor the unsung heroes who ensure businesses operate ethically,…
Best Practices for Adhering to IAF Regulations
With regulations constantly changing worldwide, understanding Ireland’s Central Bank’s IAF (Individual Accountability Framework) instituted in March 2023 is crucial for business.
SEC Cracks Down on CLO Manager’s Insider Trading Controls
The Securities and Exchange Commission (SEC) recently took action against a registered investment advisor, Sound Point Capital Management, for failing to have proper safeguards…
Crypto Compliance: Brace Yourself, The Regs Are Coming!
Getting Ready for Employee Regulatory Compliance Around Crypto and Digital Assets Trading As the world of crypto and digital assets continues to expand at an…
Understanding the Evolving Role of Compliance Officers & the Liability Risks
CCOs play a critical role in developing strong systems of controls to prevent violations of federal securities laws.
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