Australia’s Capital Markets Are Evolving…
And So Are Regulatory Expectations The Australian Securities and Investments Commission (ASIC) has released a major discussion paper highlighting the dynamic shifts between Australia’s…
Employee Conflicts of Interest
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Crypto Under The Microscope
How FCA’s DP25/1 Sets the Stage for Stricter Compliance As part of its expanding crypto regulatory roadmap, the UK’s Financial Conduct Authority (FCA) released…
Understanding Personal Account Dealing Policy and Compliance
What the FCA has to say about personal account dealing, and how StarCompliance can help.
Japan Confronts Insider Trading Risks In The Global And Digital Era
As Japanese companies expand their global footprint and the digital asset market continues to mature, Japan is confronting a surge in insider trading risks…
Complying With FCA’s Supervision Priorities
The Financial Conduct Authority (FCA) has recently communicated with firms in the Asset Management and Alternatives sector to build on the supervisory direction set…
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…
FDIC & OCC Clear a Path for Bank Crypto Activity
From Caution to Confidence In a landmark regulatory shift, both the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the…
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.