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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..

Has Title IX Fulfilled Its Promise of Equality?

When Title IX was signed into law on June 23rd, 1972 by President Nixon the promise of equality and..

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...

Two Departments, One Incident & Policy Management Solution

Human Resources and Compliance departments often struggle to communicate with other departments..

ECOI, GRC, IRM, ESG... NOT JUST ALPHABET SOUP

For years, we’ve all paid respect to the disciplines defined by GRC – Governance Risk and..

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..

Embedding the Values of Juneteenth into a Culture of Compliance

Most days of remembrance are fairly distant from the world of ethics and compliance. Some have..

How Can Whistleblowing or Incident Reporting Help Improve Employee Compliance?

It goes without saying: fraud, corruption and misconduct have no place in any organization...

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..