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FINRA released their2024 FINRA Annual Regulatory Oversight Report on January 9th. There are a..
Compliance is a hard job. Plain and simple. In recent years it seems that many of those within the..
When it comes to the monitoring of employee conflicts relating to gifts and entertainment (G&E),..
In a world where adherence to regulatory standards must be the gold standard, we need a candidate..
What the FCA has to say about personal account dealing, and how StarCompliance can help.
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..