Using Data to Monitor Employee Conduct in the Wake of Bonus Cap Increases
As Bonus Caps Increase, So Could Risk Barclays recently became the first major British bank to significantly raise the bonus caps for its senior…
Employee Conflicts of Interest
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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SEC Cracks Down on CLO Manager’s Insider Trading Controls
The Securities and Exchange Commission (SEC) recently took action against a registered investment advisor, Sound Point Capital Management, for failing to have proper safeguards…
Answering the Needs of the Global Compliance Market
2016 to 2024: A Decade of Regulatory Transformation The world of regulatory compliance is one of constant evolution, driven not only by the ever-changing…
Regulations Ahead… Time to Plan Accordingly
Setting Aside Budget for Employee Compliance Efforts
A Decade of Transformation in Financial Services
How the period between 2009 and 2015 shaped the future of employee compliance The 2008 financial crisis, a watershed moment for global economies, precipitated…
FINRA Gift Rules and Monitoring
Gift-giving and entertaining—commonly known as “wining and dining”—have long been integral to business practices, serving to build relationships and facilitate negotiations.
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.