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Star viewpoint

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.

Why WFH Is Making The FCA Nervous And What Firms Can Do About It

In Market Watch 63, the regulator's latest newsletter, the FCA outlines its concerns surrounding..

UK COVID-19 Compliance Update: Joint FCA-PRA Statement On SMCR

As economies sputter, markets churn, and financial systems creak under the strain of worldwide..

BEAR: How StarCompliance Can Help With Australia's Answer To The SMCR

As accountability regulations become more prescriptive, being able to evidence your compliance will..

COVID-19 Compliance Update: The FCA Loosens Up The Regulatory Reins

Market volatility means greater regulator flexibility, at least to some degree, as the UK regulator..

SMCR Update: How Dashboards Can Help Evidence Regulatory Compliance

The FCA has extended SMCR rollout to 47,000 firms. As regulations become more prescriptive..

The California Consumer Privacy Act: Update & Forecast

The state's sweeping new data-privacy law is officially in effect. For now, enforcement is on hold,..

ESMA Reaffirms The Importance Of Insider Lists

Per a recent ESMA Consultation Paper, insider lists aren't going anywhere, but StarCompliance can..

The FCA Throws A Spotlight On Personal Account Dealing

The UK regulator's latest Market Watch newsletter sheds much-needed light on the subject of PAD...

How FINRA Rules Get Made: 8 Big Insights And Takeaways

The inside scoop on FINRA rulemaking, with insights by the people who make the rules and the people..

Ephemeral Messaging Apps: Back In The Hands Of Compliance Officers

The DOJ has softened its stance on the Snapchats of the app world, and in the process may have made..

FINRA Rule 3110: 10 Ways To Create Effective Supervision Structures

At the recent FINRA Annual Conference, the mother-of-all broker-dealer rules was inspected at close..

Preparing For An External Audit: Part Two

The step-by-step of what to expect in an external exam and how best to prepare

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