What Proposed Changes To Rule 10b5-1 Mean For Compliance Teams
SEC Rule 10b5-1, which governs stock trading plans by company insiders, could be getting an overhaul.
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Are Your Employees Illegally Trading Company Stock?
Whether it’s through proposed amendments to existing rules or novel ways in which to approach such activity, the SEC continues to be laser focused…
How Firms Should Manage Compliance Priorities In The Gensler Era
New SEC Chairman Gary Gensler will certainly bring new SEC regulations in tow along with him.
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Crypto Regulations Decoded
Discover key regulatory trends, compliance best practices, and insights to manage the evolving digital marketplace and build a strong employee compliance crypto program with confidence.
Accomplished SaaS Executive Named Chief Revenue Officer At StarCompliance
Veteran business-development executive joins StarCompliance to accelerate new business acquisition
How Star Is Riding The Wave of Compliance Vendor Consolidation
What’s new to the STAR Platform? Read how our recent acquisitions addressing political contributions compliance, individual accountability regimes, and training and competency requirements can help you streamline…
Clear Policy Management Is Your Compliance Program’s Best Defense
In this blog post, we discuss the importance of clear, accessible policies in conducting a thorough investigation.
The Growth of State-Specific Data Protection Laws in the U.S.
Several years ago, the EU collectively introduced GDPR (General Data Privacy Requirements), which went into effect on May 25, 2018, and covers all 27…
Financial Firms Need Compliance Software Created With Users In Mind
Excellent user experience makes for end users who will actually use the software.
FCA Update: Remote-Hybrid Work Expectations For Firms
Whether your firm is already registered or applying to be registered, the FCA has some very specific, and not so specific, expectations as regards…
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