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FINRA released their2024 FINRA Annual Regulatory Oversight Report on January 9th. There are a..
The news agenda never stands still, and the regulatory landscape constantly shifts in its wake..
When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy..
Regulated firms in financial services are subject to very prescriptive anti-market abuse regimes..
Failure to comply with market-abuse regulations can lead to severe punishments for both firms and..
It may be just a four-hour difference, but all it takes is one misstep for a firm to find itself..
Whether it’s through proposed amendments to existing rules or novel ways in which to approach such..
What is illegal insider gifting and why is it suddenly a potential problem for financial firms? In..
What is shadow trading, and what can compliance teams do about it? Star's Head of Business..