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..
StarCompliance aims to create seamless, intuitive experiences for financial services employees to..
If compliance software is meant to drive compliance activities, all employees must adopt it. Here’s..
Are you concerned your employees aren’t getting the most utility from their compliance software, as..
Compliance-process automation software like the STAR Platform can help your firm monitor and manage..