Navigating Canadian Employment Compliance Regulations

Understanding Canadian regulations is crucial for maintaining compliance and ensuring that your company and its employees understand the boundaries and adhere to the proper conflict of interest regulations.

Personal Account Dealing Policy and Compliance

What the FCA has to say about personal account dealing, and how StarCompliance can help.

Everything You Need To Know About Employees & Political Donations 

As July 4th approaches, so does the intensifying presidential campaign season. It's impossible to escape the flood of fundraising efforts on every device you own. Campaign fundraising in America has reached a fever pitch.

The Importance of Monitoring in Employee Trading Compliance

On April 12, 2024, the financial industry was reminded of the critical importance of strong compliance monitoring when FINRA announced that Barclays Capital Inc. had been censured and fined $700,000.

Understanding FINRA Rule 3210: Essentials for Financial Professionals

Transparency is a fundamental aspect of the financial services industry, essential for building trust and demonstrating accountability.

Navigating Employee Compliance: 12 Best Practices and Strategies

Effective employee compliance programs are vital for safeguarding a company’s reputation and reducing legal risks, as well as risks to employees themselves.

Shadow Trading Confirmed!!! Are You Ready???

Shadow trading is here to stay. Star expert, Steve Brown, discusses the recent SEC v. Panuwat case and what that means for your firms' compliance program.

The Challenges of an Election Year: Monitoring Political Contributions in 2024

Navigating the intricacies of political contributions in the 2024 election cycle poses a challenge for compliance teams trying to mitigate risks.

Financial Advisor Compliance Checklist

Financial advisors play a pivotal role in maintaining compliance within the financial services industry while managing their client portfolio.