Broker-Dealer Compliance & Registration: How to Choose the Right Software
When a newly hired registered representative joins a broker-dealer firm, the compliance clock starts ticking.
Compliance Software
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.
Category
Industry
Fixing Broker-Dealer Registration Workflows
Less Friction, Better Visibility, Stronger Control License and registration workflows are still more complicated than they need to be for many broker-dealers.
Crypto Compliance Enters a New Phase in 2026
Crypto compliance is entering a new phase. For the past several years, firms have watched digital asset regulation take shape across major jurisdictions.
Best Practices for Ensuring Compliance in Employee Crypto Trading
The adoption of cryptocurrencies like Bitcoin, Ethereum, and other digital assets has skyrocketed in recent years, fundamentally reshaping financial markets.
Certifications & Attestations: Getting The Heart Of The Compliance Process Right
The case can be made that certs are where compliance starts.
Navigating Jurisdictional Uncertainty
Compliance Lessons from Emerging Prediction Markets As prediction markets gain mainstream traction, regulators and compliance professionals alike are grappling with a fundamental question: who has jurisdiction? The…
Budgeting Now For Smarter Compliance In 2026
As we move through the final stretch of the year, many organizations are entering a pivotal moment: budgeting season.
Are You Relying on Manual Means to Detect Insider Trading? Here’s How StarCompliance Can Help
Digging through the data to detect insider activity doesn’t have to be as hard or inefficient as it’s become.
Rethinking Compliance In The Age of AI
Artificial Intelligence (AI) began as a bold concept at the Dartmouth Summer Research Project in 1956, where researchers first suggested that machines could replicate…