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…
Build vs. Buy
by StarCompliance
May
4,
2016
All companies are looking to implement compliance solutions that improve efficiency, reduce risk and reduce the compliance burden on their employees. On the one side, companies are tempted to leverage modern software development techniques…
Managing and Processing Personal Trading Data
by StarCompliance
April
1,
2016
A crucial part of monitoring personal trading activity is ensuring accurate and timely receipt of information from the brokerage firms that hold and manage your employee’s accounts…
Just Between Friends
by StarCompliance
March
8,
2016
Insider trading protection has been a necessity since the Securities and Exchange Act of 1934. Now, more than ever, it is an imperative: the SEC have settled what is believed to be the lowest-profit case in its history, after Mr. Lawrence M. Gincel...
Top 12 Areas to Consider
by StarCompliance
January
20,
2016
This document summarizes what we think are the important things to look for when evaluating any solution. Of course, we believe Star Compliance’s solution is the market leader in this field, but we hope this document will prove to be useful.
Making a giant leap forward
by StarCompliance
October
21,
2015
StarCompliance is making a giant leap forward to ensuring its clients stay a step ahead in the race for regulatory compliance. Already a leading provider of compliance software solutions for the financial services industry, the company is set to...
