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
Design and publish a standard suite of compliance documents to gather all required employee information and cerfifications and satisfy regulatory compliance requirements.
Document ConfigurationExploit a flexible document design and creation module to create and publish purpose-built document configurations and control the layout, formatting, and content of different standard compliance documents. Deploy these documents to gather and collate essential employee information and certfications, such as Initial Holdings Reports and Transaction Reports.
Compliance ReviewSet up and manage single or multiple review triggers and workflows for review of employee document submissions. Compliance can scrutinize submitted documents and certififcations and re-request, if a document or compliance certification is incomplete.
Custom Data UploadsBuild customized data uploads into your documents, which automatically loads the employee's personal data when a document request is opened by an employee, facilitating and streamlining employee document workflow effort.
Alert Email NotificationsEnable alert e-mail notifications to be sent to users when document requests are issued, with due date for completion and submission of the document or certification and ensure all required compliance information is collected in a prompt and timely manner.
Charts and Reporting
Use Chart Designer to create graphically-rich charts driven by compliance data and embed these into your compliance activity and performance Reports.
Personal Trading
Employees submit trade requests quickly and easily, which are automatically checked against your Code of Ethics rules to prevent conflicts of interest and protect your regulatory compliance integrity.
Insider Trading
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