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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.

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..

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..

SEC Charges Investment Adviser for Policies and Procedures Failures

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

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..

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..

3 Ways to Avoid EEOC Retaliation Charges

Each year, the EEOC releases updated charge statistics and the charges that top the list tend to..