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.
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Earning the Credit in Accreditation
Star’s Synergy ’24 Roadshow: Where Quality Meets Professional Development StarCompliance (Star) is leading the charge with an exciting array of CPD opportunities! They offer…
Navigating Canadian Employment Compliance Regulations
Understanding Canadian regulations is crucial for maintaining compliance and ensuring that your company and its employees understand the boundaries and adhere to the proper conflict of interest regulations.
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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.
Personal Account Dealing Policy and Compliance
What the FCA has to say about personal account dealing, and how StarCompliance can help.
The Weak Link in Surveillance: Validating Models for Effective Detection
This FCA Market Watch is a wake-up call for firms! Firms must build and validate their surveillance models to ensure they function in the correct manner to surface the desired risk.
Navigating FCA’s Consumer Duty Requirements as the Deadline Approaches
Putting The Consumer First As the Financial Conduct Authority (FCA) continues to move toward the implementation of Consumer Duty, on July 31, 2024, financial…
Everything You Need To Know About Employees & Political Donations
As July 4th approaches, so does the intensifying presidential campaign season. It's impossible to escape the flood of fundraising efforts on every device you own. Campaign fundraising in America has reached a fever pitch.
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.
Embedding the Values of Juneteenth into a Culture of Compliance
Most days of remembrance are fairly distant from the world of ethics and compliance.
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