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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.

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Steve Brown

As Head of Business Development, Steve Brown is responsible for helping drive growth at Star, with a focus on go-to-market planning, data and vendor partnerships, channel sales, new markets, and mergers and acquisitions. Steve joined Star in April 2021 with 25 years of experience in advising financial firms on regulatory compliance. Prior to joining Star, Steve was Director of Broker-Dealer Client Services at Compliance Risk Concepts LLC, a senior director at PwC, and Head of Fixed Income and Capital Markets Compliance at U.S. Bancorp Investments, Inc. Steve is considered a pioneer in the control room space, having begun his career at Wachovia, where he was Head of Global Investment Banking Compliance and Control Group and established the bank’s first formal control room function. Read Steve’s take on insider trading for Traders Magazine here.
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Shadow Trading Confirmed!!! Are You Ready???

On Friday, April 5, 2024, a San Francisco jury found Matthew Panuwat guilty of insider trading.1..

topicIcon INSIDER TRADING
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The Challenges of an Election Year: Monitoring Political Contributions in 2024

Navigating the intricacies of political contributions amidst the 2024 election cycle poses..

topicIcon BEST PRACTICES, POLITICAL DONATIONS
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Going Public in 2024? Don't Forget Your SOX Whistleblowing Obligation

In the US, all companies planning an initial public offering (IPO) and those with securities..

topicIcon BEST PRACTICES, WHISTLEBLOWING, INCIDENT AND POLICY MANAGEMENT
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Three Key Trends identified from Star’s Third Annual Crypto & Compliance Market Survey

The popularity of crypto assets among the public has skyrocketed in recent years, as people become..

topicIcon CRYPTO, COMPLIANCE SOFTWARE
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FINRA Regulatory Obligations and Related Considerations 2024

FINRA released their2024 FINRA Annual Regulatory Oversight Report on January 9th. There are a..

topicIcon REGULATION, EMPLOYEE CONFLICTS OF INTEREST, INSIDER TRADING, CRYPTO
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SEC Charges Investment Adviser for Policies and Procedures Failures

Late last year, (December 26, 2023),the Securities and Exchange Commission (“SEC”) settled charges..

topicIcon MNPI & Enterprise Conflicts
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Where Policy Stops and Enforcement Begins

The Dalai Lama's timeless advice, "Learn and obey the rules very well so you will know how to break..

topicIcon EMPLOYEE INCIDENT & POLICY MANAGEMENT
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Political Contributions, Gifts and Entertainment: How to Take a Proactive Stance Against Bribery and Corruption

When it comes to the monitoring of employee conflicts relating to gifts and entertainment (G&E),..

topicIcon EMPLOYEE CONFLICTS OF INTEREST, POLITICAL DONATIONS, GIFTS AND ENTERTAINMENT
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SEC vs Virtu: Why Firms Need to Maintain Robust Information Barriers

In September this year, the Securities and Exchange Commission (SEC) filed a civil lawsuit against..

topicIcon MNPI & Enterprise Conflicts
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SEC Prohibits Conflicts of Interest in Certain Securitizations

OVERVIEW

topicIcon REGULATION, EMPLOYEE CONFLICTS OF INTEREST
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EU Whistleblowing Decree 2023: How Can You Prepare to Protect Your Employees and Your Reputation?

Since the 2019 EU Whistleblowing Directive came into effect, European authorities have continued to..

topicIcon WHISTLEBLOWING, INCIDENT AND POLICY MANAGEMENT
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Are Bots People Too?

Written by ChatGPT… Edited by humans

topicIcon EMPLOYEE INCIDENT & POLICY MANAGEMENT
 
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