Centralized monitoring to track requests and approvals fast
Easy integration and auto-population with FINRA and other regulators
Visibility into the multistep license and registration process
Enterprise reporting capabilities with improved progress and time tracking
26 Jan, 2023
2022 was an exciting year for compliance and compliance software. Before we get settled into 2023, we’re taking a look back at 10 of the best blogs from our team at StarCompliance.
18 Jan, 2023
In our second blog examining the compliance outlook for financial services firms in 2023, Gary Muchmore, Managing Director at StarCompliance, discusses upcoming legislation for individual accountability regimes, the still-evolving post-Brexit compliance landscape, and recent developments in the digital assets space.
12 Jan, 2023
As we head into 2023, Steve Brown, Managing Director at StarCompliance, assesses the state of financial services compliance and provides an overview of the key regulatory developments that regulated firms need to be aware of and prepare to comply with in the year ahead. In the first of his two-part blog series, Steve takes a look at insider trading and what the amendments to SEC Rule 10b5-1 mean for publicly traded companies (i.e. corporate issuers of securities).