2022 was an exciting year for compliance and compliance software. Before we get settled into 2023, we’re taking a look back at 10 of the best blogs from our team at StarCompliance.
From the control room to shadow trading, we covered some of the most important topics for firms, compliance officers, and employees. See what you might have missed or reread your favorite to prepare for the new year.
10. HOW FIRMS SHOULD MANAGE COMPLIANCE PRIORITIES IN THE GENSLER ERA
SEC Chairman Gary Gensler will certainly bring new SEC regulations in tow along with him. With his aggressive regulatory agenda, corporate compliance teams have plenty to think about. Find out how compliance teams can prepare to respond accordingly.
Read this tenth most popular StarBlog of 2022 in its entirety here.
9. FOUR KEY FINDINGS FROM STAR'S 2022 CRYPTO & COMPLIANCE SURVEY
For our second annual Crypto & Compliance Survey, we surveyed the marketplace to find out how firms are currently approaching employee crypto-trading compliance and how they plan to approach it. Read the blog to get an overview of the results and some guidance on next steps your firm should take.
Read this ninth most popular StarBlog of 2022 in its entirety here.
8. WHAT IS A CONTROL ROOM AND WHY IS IT MORE IMPORTANT THAN EVER?
Compliance control room officers' duties have expanded over time. Should your firm level up its control room game with compliance automation software? Find out now!
Read this eighth most popular StarBlog of 2022 in its entirety here.
7. WHAT PROPOSED CHANGES TO RULE 10B5-1 MEAN FOR COMPLIANCE TEAMS
SEC Rule 10b5-1, which governs stock trading plans by company insiders, could be getting an overhaul. Find out how compliance professionals can adapt, as offered by veteran compliance officer and StarCompliance Head of Business Development, Steve Brown, in this blog.
Read this seventh most popular StarBlog of 2022 in its entirety here.
6. WHY BROKER FEEDS ARE SUCH A COMPLIANCE GAME CHANGER
Increased speed. Increased ease. Increased accuracy. Decreased risk. In this blog, we go in-depth on broker feeds—and all the benefits they bring—with Star’s broker-feeds specialist, Pippa Hainey, as our guide.
Read this sixth most popular StarBlog of 2022 in its entirety here.
5. SHADOW TRADING: HOW TO MONITOR FOR THIS NEW COMPLIANCE RISK
What is shadow trading and what can compliance teams do about it? In this blog, Star's Head of Business Development and veteran compliance officer, Steve Brown, recommends what precautionary steps firms should take to minimize risk.
Read this fifth most popular StarBlog of 2022 in its entirety here.
4. WHAT IS REGTECH & WHAT DOES COMPLIANCE MANAGEMENT SOFTWARE DO?
The regtech train is leaving the station. What do compliance officers need to know about the benefits and limitations of this tech locomotive? This blog goes over four ways well-designed software can help compliance teams cope with whatever comes down the tracks, courtesy of Gary Muchmore—Head of Business Development at StarCompliance.
Read this fourth most popular StarBlog of 2022 in its entirety here.
3. COMPLIANCE LEADERS: WHAT TO DO IN YOUR FIRST 90 DAYS
The first three months on the job are critical in so many ways. STAR offers priorities that compliance officers should take for those critical first three months as a team leader. This blog is a guide to getting them right.
Read this third most popular StarBlog of 2022 in its entirety here.
2. ILLEGAL INSIDER GIFTING POSES NEW COMPLIANCE RISK FOR FIRMS
What is illegal insider gifting and why is it suddenly a potential problem for financial firms? In this Blog, our resident insider-trading expert and Head of Business Development Steve Brown explains how it works and offers advice on how to counter it.
Read this second most popular StarBlog of 2022 in its entirety here.
1. COMPLIANCE CONTROL ROOM: WHAT IS IT AND WHO NEEDS IT?
One of Africa's biggest banks needs it, and soon enough so may you. In this most popular blog of the year, we discuss the Compliance Control Room, what is it, how firms are using it today, and why you may need it.
Read this most popular StarBlog of 2022 in its entirety here.