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.
In a world where adherence to regulatory standards must be the gold standard, we need a candidate..
Market abuse covers a wide range of behaviors that serve to manipulate investors, give brokers an..
We recently sat down with Mark Robinson, Director, Technical Services at StarCompliance, to find..
Solutions can remain in place for years. Here's how to choose one you can live with
Failure to comply with market-abuse regulations can lead to severe punishments for both firms and..
Greater scrutiny from regulators, a new hybrid work environment, and other rapidly changing..
Complying with all FINRA rules can be a challenge. Understanding the organization and its..
The US midterm elections are shaping up to be the busiest and most contentious yet. As such, firms..
Whether it’s through proposed amendments to existing rules or novel ways in which to approach such..
In an era of constant campaigning—and constant contributing—firms need to keep a closer eye than..
StarCompliance surveyed compliance leaders from across the financial services industry for its..
MassMutual has been fined $4 million for the outside business activity, a.k.a., social media..