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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.

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..

Four Key Findings From Star's 2022 Crypto & Compliance Survey

For our second annual Crypto & Compliance Survey, we surveyed the marketplace to find out how firms..

5 Top Takeaways From Our California Crypto Compliance Seminar

Are cryptoassets currencies or securities? Who’s going to be regulated and who isn’t? How should..

Regulatory Alert: SEC Nearly Doubles Size Of Crypto Enforcement Unit

If anyone doubted Chairman Gensler’s commitment to a greater regulatory focus on crypto, this move..

What Should Private Funds Do About New SEC Disclosure Rules?

The SEC is making a move into the private fund investment space. Here are the details and thoughts..

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..

What Does Working From Home Mean for Workplace Romance?

With Valentine’s Day this week, love was in the air. It gave me pause to consider the changes 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..

What Proposed Changes To Rule 10b5-1 Mean For Compliance Teams

SECRule 10b5-1, which governs stock trading plans by company insiders, could be getting an..