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.

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.

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.

Guide to Purchasing Compliance Management Tools

While traditionally associated with multinational corporations and financial institutions, compliance obligations are now ubiquitous, extending even to small retailers.

The Birth of Employee Regulatory Compliance 

Reflecting on the Crucial Years of 1999-2008 

 Managing The Rollout of Whistleblower Protection in the European Union

NOT ALL ROADS LEAD TO ROME…  The EU Whistleblower Directive, introduced in 2019, provides a critical framework for protecting individuals who expose illegal activities…

3 Takeaways from Star’s “FAR Decoded: Key Insights & Strategies for Success” Webinar

A deep dive into how firms in Australia are transitioning to the Financial Accountability Regime.