Blog

In a world where adherence to regulatory standards must be the gold standard, we need a candidate..

EMPLOYEE CONFLICTS OF INTEREST

Market abuse covers a wide range of behaviors that serve to manipulate investors, give brokers an..

EMPLOYEE CONFLICTS OF INTEREST

We recently sat down with Mark Robinson, Director, Technical Services at StarCompliance, to find..

DATA & INTEGRATIONS, EMPLOYEE CONFLICTS OF INTEREST

Solutions can remain in place for years. Here's how to choose one you can live with

EMPLOYEE CONFLICTS OF INTEREST

Failure to comply with market-abuse regulations can lead to severe punishments for both firms and..

EMPLOYEE CONFLICTS OF INTEREST, INSIDER TRADING

Greater scrutiny from regulators, a new hybrid work environment, and other rapidly changing..

BEST PRACTICES, EMPLOYEE CONFLICTS OF INTEREST

Complying with all FINRA rules can be a challenge. Understanding the organization and its..

EMPLOYEE CONFLICTS OF INTEREST

The US midterm elections are shaping up to be the busiest and most contentious yet. As such, firms..

EMPLOYEE CONFLICTS OF INTEREST, POLITICAL DONATIONS

Whether it’s through proposed amendments to existing rules or novel ways in which to approach such..

REGULATION, EMPLOYEE CONFLICTS OF INTEREST

In an era of constant campaigning—and constant contributing—firms need to keep a closer eye than..

REGULATION, EMPLOYEE CONFLICTS OF INTEREST

StarCompliance surveyed compliance leaders from across the financial services industry for its..

BEST PRACTICES, EMPLOYEE CONFLICTS OF INTEREST

MassMutual has been fined $4 million for the outside business activity, a.k.a., social media..

REGULATION, EMPLOYEE CONFLICTS OF INTEREST