Tag: StarCompliance

The compliance function in financial services has undergone a quiet but significant transformation. Where once the focus rested on having controls in place, regulators...

The UK's Senior Managers and Certification Regime (SMCR) is entering a new chapter — one that promises greater operational flexibility for firms while keeping...

The compliance function has changed — and the tools used to support it are struggling to keep pace. According to StarCompliance, firms operating across multiple...

StarCompliance, a leading provider of employee and firm compliance technology, has unveiled StarAssist, a new AI-powered capability designed to deliver greater clarity, speed, and...

Funds have become a cornerstone of modern investing — but they are quietly creating a growing blind spot in employee trading controls, one that...

Something significant happened at NYU Law School on 31 March 2026. David I. Miller, the newly appointed director of enforcement at the Commodity Futures...

Automation was intended to make compliance cleaner, delivering faster decisions, more consistent outcomes, and fewer human errors, but it has made ownership much less...

For the first time in more than three decades, FINRA has raised the annual gift limit under Rule 3220. The Securities and Exchange Commission...

Nearly six in ten firms worldwide are permitting employee crypto trading without formal pre-approval, according to new research from StarCompliance, highlighting persistent compliance gaps...

The U.S. Securities and Exchange Commission has unveiled its Fiscal Year 2026 Examination Priorities, and while the language may appear measured, the message to...