StarCompliance attended the annual SIFMA Compliance and Legal Seminar, held on March 17th this year in Toronto, Canada. SIFMA represents over 600 organizations worldwide including some of the largest asset management companies in the global financial industry. Part of SIFMA's stated mission is to build trust and confidence in the global financial industry and recognizes the crucial and continued contribution made by regulatory Compliance programs with the publication of two White Papers examining the role of Compliance. This seminar drew in large crowds from right across the asset management industry and allowed us to display our new exhibition stand and to demonstrate the strengths of our leading regulatory Compliance solution to new faces as well as meet with existing clients.

Congratulations to James Finkel, the Managing Director at Duff and Phelps, who was the lucky winner of our Kindle Fire HD business card draw.

We look forward to attendance at the 2014 SIFMA seminar next year.

StarCompliance, the leading provider of employee conflicts of interest compliance solutions for financial services organizations, today announced plans to exhibit at Registrant regulation conduct & compliance summit
What: Registrant regulation conduct & compliance summit. During the event, practitioners, peers and regulators exchange ideas on today's most challenging compliance and regulatory topics.
Where: One King West, 1 King Street West Toronto, ON, M5H 1A1
Tel: 416-548-8100
When: March 17 - 20, 2013

StarCompliance, the leading provider of employee conflicts of interest compliance solutions for financial services organizations, today announced plans to exhibit at the FINRA Annual Conference 2012.
What: SIFMA's 2013 Annual Conference. During the event, practitioners, peers and regulators exchange ideas on today's most challenging compliance and regulatory topics.
Where: JW Desert Ridge, 5350 East Marriott Drive Phoenix, Arizona 85054 Tel: 480-293-5000
When: March 17 - 20, 2013

StarCompliance announced today the release of its Insider Trading compliance software to help firms comply with rules around the use of MNPI when conducting personal, firm and client trades. The new module tracks transactions against stock price or volume fluctuations and links to news stories that may have influenced these movements.

StarCompliance developed Insider Trading to prevent firm and employee violation of regulatory guidelines by illegally using MNPI to profit from security transactions. The software is configured to inform compliance of all employee, firm and client transaction prior to a significant market event and automatically attach relevant news stories to the event, allowing compliance to identify suspicious trading activity. Insider Trading retains a full audit trail including details of the original transaction and all subsequent modifications and communications relating to the transaction.

"Regulators are cracking down on insider trading at the firm and employee level," said Matt McGill, Vice President of Sales, StarCompliance. "We worked together with our clients and prospective clients to ensure we developed a software module that mitigates risk in this area."

Insider Trading is configurable to meet any regulatory compliance requirements and can be configured with different rules for different groups within an organization. The new software module opens cases when potential violations occur and compliance can work these cases through to resolution.

"Insider Trading saves compliance personnel from labor-intensive, manual tracking and analysis of firm and employee trades and gives our clients peace of mind that their firms are fully compliant with insider trading rules,"said McGill.

StarCompliance, the leading provider of employee conflicts of interest compliance solutions for financial services organizations, today announced plans to exhibit at the FINRA Annual Conference 2012.
What: FINRA's 2012 Annual Conference. During the event, practitioners, peers and regulators exchange ideas on today's most challenging compliance and regulatory topics.
Where: Renaissance Hotel, 999 Ninth Street NW, Washington, 20001 USA Tel: 1-202-898-9000
When: May 21 - 23, 2012

StarCompliance announced today the release of its Graphical Reporting module to help firms aggregate information from across the StarCompliance system and present it in graphically rich, board room ready reports. The new module features drag and drop functionality making it easy for any business user to create and distribute eye catching reports.

Complimenting the hundreds of tabular reports also available, StarCompliance developed Graphical Reporting to make it easy for business users to access the vast information within the system. The reports can be scheduled for delivery to compliance and business line managers with visibility rights following for each recipient. There is a full audit trail of Graphical Reports so that compliance can see a snapshot of a report at any point in time.

"The need to distribute slick, graphical reports to recipients throughout and organization is increasing," said Matt McGill, Vice President of Sales, StarCompliance. "We developed these reporting features to create sophisticated reports with minimal effort on the part of business users."

Graphical Reporting is configurable to generate reports across the entire company or for different groups within an organization.

"Graphical Reporting saves compliance personnel from labor intensive, manual creation of reports in programs external to the StarCompliance application," said McGill.

Five Questions to Ensure your Compliance Software Provider Meets Your Security Needs

StarCompliance released today a list of key questions for financial institutions to ask about data security measures when selecting a financial compliance software provider. Financial organizations need to ensure that the software provider they select has all of the necessary controls and processes in place to keep their data as secure as possible. The list of questions StarCompliance developed is meant to help financial organizations consider all the security risks and ensure they are making the best decision for their needs when selecting a software provider.

"Information security control and access of employee and corporate information is of vital importance to all financial organizations," said Tim Ward, Chief Technology Officer, StarCompliance. "There are risks but there are also steps that can be taken to find a software provider that best meets your company's specific security needs - it's not a blanket solution. Our clients demand the utmost in data security and our in-house development team continuously works to meet their needs."

StarCompliance developed the following 5 questions for financial institutions to ask compliance software providers about their data control measures.

Question 1: Where will our data be hosted? Behind our firewall or externally? If data is stored externally, what are the key security risks we need to address?

Question 2: Will our data be held on a system alongside the data of other organizations? What risks does that potentially pose to our data? What controls do you have in place to ensure no cross over of data occurs?

Question 3: What outside parties have access to our data?

Question 4: What types of accreditation do your employees and subcontractors acquire? What types of authorization controls are in place for access to our data by employees and subcontractors?

Question 5: Our organization is multinational, does your software meet data protection and compliance regulations in all the territories in which we operate?

More information about the above questions and security issues is provided here.

StarCompliance announced today that its compliance software helps financial firms ensure they comply with the UK Bribery Act, which took effect July 1, 2011. The UK Bribery Act, designed to tighten the UK's regulatory framework, not only affects UK financial firms but also any financial companies that have offices in the UK, employ UK citizens, or provide any services to a UK organisation. The StarCompliance 'Gifts and EntertainmentÂ’ module, which is available to all StarCompliance clients, works to ensure compliance with the new Act.

"Violating the UK Bribery Act carries unlimited fines and a maximum jail time of 10 years for individuals," said Matt McGill, Vice President of Sales, StarCompliance. "It is critical for financial firms to have the right tools in place to ensure their employees comply with the new act, if not, they also risk facing severe fines."

StarCompliance's 'Gifts and Entertainment' module instantly matches employee gifts and entertainment requests against a firm's Code of Conduct to automatically generate approval, denial or a case for supervisory review. The module automatically detects unusual activities based on the rules a client has pre-determined from their Code of Conduct and discourages employees from giving gifts or entertaining in ways that may be considered acts of bribery. Like with all StarCompliance modules, rules and workflows are configurable to meet complex compliance requirements.

"Our software saves compliance personnel from the risks of labor intensive, manual tracking and analysis of employee gifting and entertainment requests to give our clients peace of mind that their firms are fully compliant with the UK Bribery Act," said McGill.

StarCompliance announced today the release of its Political Activities compliance software to help Investment Advisers comply with changes in SEC 'pay to play' rules. The new SEC rule 206(4)-5, which became effective September 13, 2010, discourages Investment Advisers from making contributions to elected officials or political candidates in a position to influence investment advisory contracts.

StarCompliance developed Political Activities to prevent employee violation of federal, state and municipal regulatory contribution guidelines by illegally influencing contract awards for investment services, a practice commonly referred to as 'pay to play'. The software is configured to inform compliance of all employee political contribution activity and automatically screen them against pre-set contribution rules, such as maximum contribution amounts for federal, state and municipal candidates. Employees submit a proposal for a contribution they want to make to a political candidate or entity to be reviewed by the compliance team. Political Activities screens the proposal against the rules pre-set in the software and identifies if it is in violation, making it easier for compliance to approve or deny a contribution before it is made. The software can also identify previously made donations that are in violation of the rules and instruct employees to recover them. Political Activities retains a full audit trail including details of the original submission and all subsequent modifications and communications relating to the donation.

"The new 'pay to play' rules are complex and breaking them can result in severe consequences," said Matt McGill, Vice President of Sales, StarCompliance. "We worked together with our clients for more than six months to ensure we developed a software module that meets all of their needs in this area."

Political Activities is configurable to meet any SEC and MSRB political contribution compliance requirements. The new software module comes preloaded with a list of Senate and House of Representatives office holders and allows clients to load additional records such as their government client and prospect lists directly from their internal data stores.

"Political Activities saves compliance personnel from labor intensive, manual tracking and analysis of employee political contributions and gives our clients peace of mind that their firms are fully compliant with SEC and MSRB contribution rules and not at risk of losing revenue by being prohibited from conducting business with government clients for two years," said McGill.

Dow Jones reporter Suzanne Barlyn discusses how the StarCompliance Political Activities module helps prevent severe consequences for violating the new "Pay to Play" rule with Larry Goldfarb, Senior Sales Executive.

Rockville, MD - April 8, 2011 - StarCompliance, the leading provider of employee conflicts of interest compliance solutions for financial services organizations, today announced plans to exhibit at the FINRA Annual Conference.
What: SIFMA Financial Services Technology Leaders Forum
Where: New York Hilton Hotel, 1335 Avenue of the Americas New York, New York, 10019 Tel: 1-212-586-7000
When: June 14-16, 2011

StarCompliance, leading provider of code of ethics compliance solutions for financial services organizations, today announced plans to exhibit at the NSCP National Membership Meeting.
What: NSCP National Membership Meeting
Where: Hilton Baltimore, 401 West Pratt Street, Baltimore, Maryland 21201, Tel: 1-443-573-8700
When: November 1-3, 2010

About the National Society of Compliance Professionals:
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the securities industry.

StarCompliance, leading provider of code of ethics compliance solutions for financial services organizations, today announced plans to exhibit at the Ascendant Fall Conference.
What: Ascendant Fall Conference
Where: Park Hyatt Washington, 1201 24th Street, NW, Washington D.C. 20037, Tel: +1 202 789 1234
When: November 1-3, 2010

About the Ascendant Conference:
This Ascendant conference delivers the analysis, experience and answers you need! Everyone is realizing that good, strong financial businesses require strong compliance. A combination of regulatory, business and operational issues must be effectively monitored for a business to be successful. Ascendant's Capitalize on Compliance in Washington, DC Conference places the issues on the table and sorts them all out. Designed for investment adviser compliance and legal professionals, senior management and operations personnel, this event will help your investment firm "Capitalize on Compliance."

StarCompliance, whose software supports a culture of compliance within financial services organizations, today announced a move into a new corporate headquarter facility in Rockville, MD.

Please make a note of StarCompliance's new office location:
451 Hungerford Dr. Suite 375 Rockville, MD 20850