In a recent interview on WealthTrack, John Spears of Tweedy, Browne shared the empirical research that led to the creation of their new ETF. “The big thing I think that tipped the scales was the empirical research that had been done before by Professor Seyhun,” Spears explained. The findings were ... Read More| The Acquirer's Multiple®
Compliance software can help your firm get a handle on identifying and surfacing illegal insider trading. Here’s how.| StarCompliance
Exec allegedly allocated unfair share of winning trades to his own account The post SEC settles adviser ‘cherry picking’ case appeared first on Investment Executive.| Investment Executive
Compliance exec at bank claims termination for investigating Alessandro DiNello’s suspicious payments.| The Real Deal
A Rule 10b5-1 Cautionary Tale When used properly, the U.S. Securities and Exchange Commission’s (SEC) Rule 10b5-1 trading plans are a valuable compliance| StarCompliance
Star Compliance Tokenized Stocks Raise Big Questions For Compliance Teams. Crypto compliance continues to evolve rapidly, with new headlines surfacing almost daily. The latest issue on the radar is the rise of tokenized stocks,| StarCompliance
In May 2025, the U.S. Department of Justice unveiled its “Focus, Fairness, and Efficiency in the Fight Against White-Collar Crime” memorandum, laying out| StarCompliance
Star Compliance Crypto Under The Microscope. How FCA’s DP25/1 Sets the Stage for Stricter Compliance As part of its expanding crypto regulatory roadmap, the UK’s Financial Conduct Authority (FCA)| StarCompliance
What is shadow trading, and how can you implement effective shadow monitoring? Take these precautionary steps to protect your firm.| StarCompliance
Back in March 2023, the DOJ unsealed an indictment against Terren Peizer, formerly the executive chair of Ontrak, Inc., representing the first time, according to the press release, that the DOJ bro…| Cooley PubCo