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...
StarCompliance Blog
Should software companies offer prospective clients a Proof of Concept (POC) engagement?
by StarCompliance
October
7,
2016
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...
