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StarCompliance Blog

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…

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...

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