In the second of two blogs regarding the “swivel chair” Compliance professionals experience when m..
Monitoring access to material, nonpublic information (“MNPI”) is too often managed in a ‘swivel..
US presidential campaigning is alive and well, coming to you on any and all devices you own...
Every year, FINRA releases a report on its Examination and Risk Monitoring Program to help firms..
The recent failures of two US banks along with the rescue of a large Swiss bank and ongoing..
When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy..
As we head into 2023, Steve Brown, Managing Director at StarCompliance, assesses the state of..
It's no secret the federal government has been pursuing an aggressive regulatory enforcement agenda..
It may be just a four-hour difference, but all it takes is one misstep for a firm to find itself..
Whether it’s through proposed amendments to existing rules or novel ways in which to approach such..
What is illegal insider gifting and why is it suddenly a potential problem for financial firms? In..
What is shadow trading, and what can compliance teams do about it? Star's Head of Business..
