The $8.2 Billion Wake-Up Call
Why Your Firm Needs Smarter Trade Surveillance In fiscal year 2024, the Securities and Exchange Commission (SEC) secured a record-breaking $8.
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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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Taking Client Service To The Next Level
Meet StarCompliance’s New Premium Support Program Achieving success in employee compliance takes more than powerful technology—it requires a true partnership.
From The Front Lines of Compliance
Your Ultimate Guide to Smarter, Stronger Compliance Programs At Star, we have the privilege of working alongside some of the sharpest minds in compliance.
Educate To Elevate: Mastering Employee Compliance Software
Industry Training for Effective Risk Management In the fast-paced world of employee regulatory compliance, staying up to date with the latest tools and best…
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…
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…