Change Agents & Early Adopters: 1999-2008

25 YEARS IN COMPLIANCE SERIES: PART 1

Employee Compliance from 1999-2008

As the Glass-Steagall Act was repealed in the United States, technologies were created to address the demand for employee compliance regulations requiring financial service institutions to monitor employee personal trading activities.

With the expansion of banks into the broker-dealer realm, ensuring fair market practices became increasingly imperative. Little did anyone foresee that 1999 marked only the start of a turbulent journey spanning multiple years, characterized by surges, downturns, financial crises, and controversies, catalyzing regulatory reforms and technological advancements throughout the industry. 

Join Steve Brown, Managing Director of Business Development at Star, and some of the industry’s earliest adopters of technology as we reflect on compliance from 1999-2008 and the catalysts for change and technology that would ultimately progress the industry forward.