New ESMA Guidelines Signal Stricter Crypto Scrutiny
The European Securities and Markets Authority (ESMA) has taken a major step forward in shaping the regulatory landscape for crypto assets across the European…
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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…
ESMA’S New Compliance & Internal Audit Review
What Fund Managers Need to Know The European Securities and Markets Authority (ESMA) has announced a Common Supervisory Action (CSA) with National Competent Authorities (NCAs) to…
Asset Management is Changing – Can Compliance Leaders Keep Their Seat at the Table?
Original article posted on Tabb Forum.
Managing FINRA Compliance In 2025
Aligning with FINRA’s Regulatory Priorities As financial firms navigate an evolving regulatory environment, the 2025 FINRA Annual Regulatory Oversight Report offers crucial insights into FINRA’s…
Regulatory Complexity Is Surging
How Employee Compliance Teams Can Keep Up Keeping up with the rapidly shifting regulatory landscape has never been more challenging.
Mastering Compliance Complexities In Asset Management
Effectively Managing MNPI, Market Sounding and Regulatory Challenges The asset management market is experiencing explosive growth, projected to surge from $503.
Beyond Celebration: A Call to Action for International Women’s Day
International Women’s Day isn’t just about recognition—it’s a call to action.
Navigating the Complexities of Market Abuse Regulations in the EU and UK
The Market Abuse Regulation (MAR) is a critical framework designed to combat market manipulation and insider trading across the EU and UK.