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Star viewpoint

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.

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.

Part 2 | Retiring the Swivel Chair: Making MNPI Easier to Monitor for Private Equity

In the second of two blogs regarding the “swivel chair” Compliance professionals experience when m..

Retiring the Swivel Chair: Making MNPI Easier to Monitor for Asset Management Firms

Monitoring access to material, nonpublic information (“MNPI”) is too often managed in a ‘swivel..

Political Contributions – Emails, Texting, and Phone Calls…Oh My!

US presidential campaigning is alive and well, coming to you on any and all devices you own...

Staying Up To Date With FINRA’s 2023 Report For Financial Crimes And Outside Business Crypto Activities

Every year, FINRA releases a report on its Examination and Risk Monitoring Program to help firms..

Financial Instability and The Shroud of Uncertainty Over Employee Compliance

The recent failures of two US banks along with the rescue of a large Swiss bank and ongoing..

Casting Further Light on Shadow Trading

When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy..

Financial Regulatory Compliance: What to Know For 2023 – Part 1

As we head into 2023, Steve Brown, Managing Director at StarCompliance, assesses the state of..

The SEC & DOJ Have Corporate Compliance Zeroed. Are You Ready?

It's no secret the federal government has been pursuing an aggressive regulatory enforcement agenda..

The Implications Of The UAE’s Shortened Workweek On Compliance

It may be just a four-hour difference, but all it takes is one misstep for a firm to find itself..

Illegal Insider Trading: Not Just A Concern For Financial Firms

Whether it’s through proposed amendments to existing rules or novel ways in which to approach such..

Illegal Insider Gifting Poses New Compliance Risk For Firms

What is illegal insider gifting and why is it suddenly a potential problem for financial firms? In..

Shadow Trading: How to Monitor For This New Compliance Risk

What is shadow trading, and what can compliance teams do about it? Star's Head of Business..