Changing Up The Playbook
The SEC Under the Direction of Paul Atkins As Donald Trump starts his second presidential term and Gary Gensler prepares to step down, Paul…
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Residential Supervisory Locations (RSLs) and Remote Branch Office Exams: Leveraging StarCompliance to Comply with New FINRA Rule
FINRA’s Residential Supervisory Location (RSL) rule allows firms to designate an associated person’s private residence as a non-branch location where certain supervisory activities are…
From Cryptocurrency to the Use of AI: Preparing for the SEC Examination Priorities in 2025
Key Insights and Practical Steps for Employee Compliance As the fiscal year begins, the Securities and Exchange Commission (SEC) has unveiled its 2025 Examination…
A Cautionary Tale For Broker-Dealers
FINRA Charges Firm for Supervisory Failures In October, ViewTrade Securities, a broker-dealer, found itself facing regulatory action by FINRA, worth $40,000 in fines, for…
The Trades Are Coming from Inside the Company
Navigating Insider Trading Through the Power of Compliance Technology In the complex world of financial markets, maintaining compliance with insider trading regulations is crucial…
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.
The Weak Link in Surveillance: Validating Models for Effective Detection
This FCA Market Watch is a wake-up call for firms! Firms must build and validate their surveillance models to ensure they function in the correct manner to surface the desired risk.
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.