Automatically surface activity you might otherwise miss. Make critical decisions with increased speed and confidence. Star's suite of in-app reporting tools combined with dashboard analytics give compliance teams and frontline managers the data they need—how and when they need it.
Compliance is increasingly expected to do more with less. Insight Driven Dashboards put actionable intel in front of compliance officers and frontline managers in an interactive format in near-real time. So you can be proactive, not reactive. You’ll reduce workload, create efficiencies, and further reduce firm risk.
22 Feb, 2024
In the US, all companies planning an initial public offering (IPO) and those with securities outstanding must comply with the whistleblowing requirements of the Sarbanes-Oxley Act (SOX). What do they need to know?
20 Feb, 2024
The popularity of crypto assets among the public has skyrocketed in recent years, as people become more familiar with what they are and how they can access and use them. There are now over 20,000 cryptocurrencies in existence, with 17% of US adults saying that they invested in, traded or used a cryptocurrency in 2023. But as with traditional securities, conflicts of interest may arise when employees trade crypto assets, putting both the firm and individual employees at risk. Compliance teams must therefore take the necessary precautions.
20 Feb, 2024
As mainstream adoption of digital assets increases globally, regulatory scrutiny is on the rise. As with any asset, conflicts of interest may arise when employees trade crypto assets, putting both the firm and individual employees at risk. With Rule 204A-1 of the Investment Advisers Act of 1940 mandating that registered investment advisers adopt policies and procedures requiring their employees to report personal transactions and holdings in reportable securities, there is growing concern among firms that they may be held liable for the crypto trading activity of their employees.