ROCKVILLE, MD February 8, 2018 – Today, StarCompliance announced the relaunch of its website: www.starcompliance.com. The new site offers the financial services industry unique resources, which will save clients time, money, and improve the...
StarCompliance Launches New Website With Industry Leading Knowledge Base
StarCompliance and Luminate Capital Announce Strategic Investment (PRESS RELEASE)
ROCKVILLE, MD, YORK, U.K., and SAN FRANCISCO, CA, July 27, 2017 – StarCompliance, LLC, the leading provider of enterprise compliance and regulatory software solutions for the financial services industry, announced today that it received an...
How does your firm handle Conflict of Interest issues?
When a problem in the compliance department arises, people often question the policies. However, it is what you do in the wake of potential violations that shows how seriously your firm takes and handles conflict of interest issues.
Should software companies offer prospective clients a Proof of Concept (POC) engagement?
A few years ago, our company invested in some training for our sales team. Core to the methodology of this particular system was that product demonstrations should never be given - or, at the very least, avoided if at all possible. This runs counter...
Can You See Over the Edge of the Horizon?
At StarCompliance, we focus on employee conflicts of interest almost exclusively and as a result we spend a great deal of time thinking about conflicts of interest issues and how we can automate a solution for our clients. That being said, it is our...
The SEC bringing new civil charges case for Insider Trading
The SEC announced today that they are bringing civil charges against Leon Cooperman and Omega Advisors for insider trading. The SEC alleges that Cooperman, who was a large shareholder in APL received confidential information and ultimately traded on...
Preventing Conflict of Interest Violations. Are you covered?
Recently, the SEC found a large fund complex in violation of sections 203(e) and 203(k) of the Investment Advisers Act of 1940 “…the company’s failure to establish, maintain, and enforce written policies and procedures reasonably designed,...