Liability Management, Defaults, and the MNPI Risk Hiding in Plain Sight
This discussion connects the current liability management cycle with how organizations approach material, nonpublic information (MNPI), conflicts, and trading oversight.
MNPI & Enterprise Conflicts
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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Industry
A Wake-Up Call From The FCA
Is Your Insider-Trading Program Ready? The UK’s Financial Conduct Authority (FCA) has recently charged two individuals with insider dealing after identifying suspicious trading linked to confidential takeover information.
Deal Momentum Is Back… So Is the Need for Strong MNPI and Watch List Controls
After months of muted activity, global M&A and leveraged finance markets are finally gaining momentum.
In The Room Where It Happened…
Industry Leaders Exchange Insights About the Future of Compliance There are moments when you find yourself listening in on a conversation so full of…
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.
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…
Mastering Compliance Complexities In Asset Management
Effectively Managing MNPI, Market Sounding and Regulatory Challenges The asset management market is experiencing explosive growth, projected to surge from $503.
Navigating Conflicts Of Interest: The Employee Compliance Imperative
Conflicts of interest remain one of the biggest risks in financial services—both for institutions and their employees.