What is shadow trading, and what can compliance teams do about it? Star's Head of Business..
SEC Rule 10b5-1, which governs stock trading plans by company insiders, could be getting an..
Whether it’s through proposed amendments to existing rules or novel ways in which to approach such..
New SEC Chairman Gary Gensler will certainly bring new SEC regulations in tow along with him...
The most common discussions we have with those teams are centered around helping them frame their..
Several years ago, the EU collectively introduced GDPR (General Data Privacy Requirements), which..
Whether your firm is already registered or applying to be registered, the FCA has some very..
Steve Brown, Star's new Managing Director and Head of Business Development, arrives with a wealth..
MassMutual has been fined $4 million for the outside business activity, a.k.a., social media..
Regulators in Germany, Canada, and the US are going through various high-level organizational and..
Control room officers must keep MNPI in all the right places, no matter where monitored employees..
Stay flexible with your people. Risk-rank your projects. Document your processes. Go in-depth on..
