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Star viewpoint

Get the latest insights, news and opinion from the compliance technology specialists. Find out what’s new, what’s changing and what the future holds in the world of corporate compliance, market abuse and conflict of interest regulations and technology.

Embedding the Values of Juneteenth into a Culture of Compliance

Most days of remembrance are fairly distant from the world of ethics and compliance. Some have..

How Can Whistleblowing or Incident Reporting Help Improve Employee Compliance?

It goes without saying: fraud, corruption and misconduct have no place in any organization...

Combat Insider Trading with Global Newsfeeds

The news agenda never stands still, and the regulatory landscape constantly shifts in its wake..

8 Best Practices for Maintaining FCA Compliance

The FCA relies on accurate and timely information from financial firms in order to identify..

How to Maintain FCPA Compliance

Bribery and corruption, unfortunately, pose a risk in any business dealings, but the lines can blur..

Managing Regulatory Compliance Risk Efficiently Today & Future-Proofing for Tomorrow

When MiFID II was introduced in 2018, it dramatically altered the way sell-side research was issued..

FINRA Gift Rules and Monitoring

Gift-giving and entertaining — perhaps more commonly known as “wining and dining” — have been..

Financial Instability and The Shroud of Uncertainty Over Employee Compliance

The recent failures of two US banks along with the rescue of a large Swiss bank and ongoing..

What Drives Regulatory Change? And How Can Corporate Markets Prepare?

As legislation expands and resources contract, corporate compliance officers find themselves under..

How Can Compliance Teams Manage Their Representatives’ License and Registration Process More Effectively?

The process of registering for and obtaining a financial securities license can be a complex and..

Casting Further Light on Shadow Trading

When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy..