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Mitigating Conflicts of Interest
StarCompliance is a leading provider of regulatory compliance software for the financial services industry.
Our regulatory compliance software, STAR, has been developed with the aid of many years' experience in the regulatory compliance domain, combined with consultations from legal experts specializing in SEC, FINRA and FCA regulations. We provide clients with a highly configurable and functionally integrated regulatory compliance software solution to underpin and impose a streamlined compliance process. This process manages, prevents, detects, reports, enforces, and resolves employee conflicts of interest and runs background risk surveillance to expose suspicious employee activities. StarCompliance has established strong relationships with leading data and resource providers in order to bring the highest level of complimentary technology and support to our clients.
All the latest news and updates from StarCompliance can be found here.
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Insider trading protection has been a necessity since the Securities and Exchange Act of 1934. Now, more than ever, it is an imperative: the SEC have settled what is believed to be the lowest-profit case in its history, after Mr. Lawrence M. Gincel profited a mere $1,083 from insider trading. Read more.