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.

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.

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.

Policy on Policies on Policies: Simplify the Maze with Policy Management Software

What are the essential elements of a successful policy on policies? In this blog post, we discuss why structured policy management is crucial for…