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.
Personal Trading
Use Star's Personal Trading module to manage and address this important area of financial regulatory compliance while increasing productivity and lowering regulatory compliance risk. Employees follow a straightforward workflow to enter their trading activities quickly and efficiently. Apply pre-configured rules to employee trade requests and automatically detect possible conflicts of interest and ensure your regulatory compliance program is not compromised.
Pre-Clearance Requests Subject employee trade requests to your pre-configured rules and impose your Code of Ethics. Requests are automatically evaluated and approved, denied, or a case is raised against the request and your Compliance Officers are notified of these trade request evaluation outcomes.
Compliance Review Build review triggers and workflow into the rules configured for employee trade requests. Requests that tirgger a rule can be sent for single or multi-tier review for compliance approval or denial.
Feed and List Management Manage and process Broker Feeds, import HR data, and upload your firm's open order, black out, restricted, and custom security lists.
Surveillance Create Surveillance Definitions to exploit the Star rules engine in scheduled mode and monitor employee activities to detect and report anything unusual. A case is raised against any suspect trading activity and your Compliance Officers are alerted to the possible breach of your Code of Ethics.
Insider Trading Monitor employee and your firm's trading activity against market news to expose suspicious trading patterns. Use interactive charts to visually pinpoint where trading may have occurred on inside information, and manage your findings through our case management system. We've partnered with the leading news aggregator used by algorithmic-driven trading houses, which ensures that you see only the news that moves the market.
Brokerage Statement Review Set up Brokerage statements received through Broker Feeds for automatic transaction matching with pre-clearance trade requests. ByAllAccounts aggregated Broker feed data automates compliance processes for employee trading activity using Brokers that do not offer direct electronic data feeds and removes the need for manual paper-statement checking.
New feeds are frequently added to the Broker Feeds list. For the most up-to-date list, click here.
Insider Trading
We've partnered with Acquire Media, who offer the leading digital news media delivery technology for aggregated news content.
Gifts & Entertainment
Employees submit Gift and Entertainment requests which are automatically subjected to your Code of Ethics rules and donation limits to expose any regulatory compliance violations.
Political Activity
Prevent violations of federal, state, or municipal regulatory guidelines for political contributions and mitigate 'pay to play' risk, where contract awards are illegally influenced by investment services.
