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.
Streamlining Compliance Supervision and Risk Management Rockville, MD – August 5, 2025 – StarCompliance (Star), a global leader in employee and firm compliance technology,…
Side Gigs, Board Seats & Political Heat: Is Your Compliance Program Ready? A recent study by the Society of Corporate Compliance and Ethics (SCCE)…
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…
Stephen King, the world-famous author known for his horror stories, once stated, “We make up horrors to help us cope with the real ones.
Every year, FINRA releases a report on its Examination and Risk Monitoring Program to help firms strengthen their compliance processes by providing insights into…
MassMutual has been fined $4 million for the outside business activity, a.k.a., social media influencing, of one its employees—Keith Gill of r/wallstreetbets fame.
Compliance-process automation software like the STAR Platform can help your firm monitor and manage outside business activity with simplicity and ease.
A guide for compliance officers in enterprise financial firms
