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
by StarCompliance
February
8,
2018
StarCompliance and Luminate Capital Announce Strategic Investment (PRESS RELEASE)
by StarCompliance
July
27,
2017
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?
by StarCompliance
October
31,
2016
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?
by StarCompliance
October
7,
2016
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?
by StarCompliance
October
4,
2016
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
by StarCompliance
September
22,
2016
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?
by StarCompliance
July
14,
2016
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,...
Illegal Insider Trading Solution: Best Practice Guide
by StarCompliance
May
18,
2016
Illegal insider trading generally refers to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, non-public information about the security…
