Compliance Solutions
Lower your risk and increase productivity with our user-friendly regulatory compliance software solutions. From tracking personal trading activities to automating data collection, StarCompliance modules have you covered.
DID YOU KNOW ... When you buy StarCompliance software, you get new modules free!
Personal Trading
Increase productivity and save money while significantly lowering regulatory and reputation risk. Star’s user friendly interface allows your employees to easily enter Personal Trading activities allowing you to automatically detect and prevent possible employee conflicts of interest.
Pre-Clearance Requests Employee trade requests are instantly matched against your firm’s Code of Ethics rules automatically generating an approval, denial or a case for supervisory review.
Supervisory Review Based upon a pre-configured rules engine, trade requests may be sent to a multi-tiered review module for supervisory approval or denial.
Feed and List Management Process broker feeds, import HR data, and upload your firm’s open order, black out, restricted and custom security lists.
Surveillance Monitor, detect and report on unusual employee trading activities based on defined conditions and rules.
Statement Review Automatically match actual trades received via electronic brokerage statements to pre-clearance requests. When a pre-configured trading rule is broken, a case is generated for immediate supervisory review.
Gifts & Entertainment
Automatically detect and prevent possible employee conflicts of interest associated Gifts and Entertainment (G&E) practices. Increase productivity and save money while significantly lowering regulatory and reputation risk.
Political Activity
This module prevents 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.
Outside Activity
Automatically detect and prevent possible employee conflicts of interest associated with Outside Business Activity (OBA) practices. Increase productivity and save money while significantly lowering regulatory and reputation risk.