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.
Documents and Certifications
Collect information across your organization or within a specific group with customized forms:
Form Creation Create and modify custom forms with our Forms Wizard.
Data Aggregation Run a Quick Report or download form data in a spreadsheet.
Alerts and Notifications Set up email notifications to track unusual activity, completed forms and more. Or set up custom alerts to notify employees of new surveys and past due activities.
Surveillance Run completion and delinquency reports to track status and ensure timely submissions.
Personal Trading
When your employees enter personal trading activities in our user-friendly interface, this module will automatically detect possible conflicts of interest based on simple rules you've pre-determined from your Code of Ethics.
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.