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.
Gifts and Entertainment Module
This module monitors gifts and entertainment for possible conflicts of interest. This is how it works:
Pre-Clearance Requests Employee gifts and entertainment requests are instantly matched against your firm's Code of Ethics to automatically generate approval, denial or a case for supervisory review.
Supervisory Review A user-friendly multi-tiered review module allows supervisors to approve or deny pre-clearance requests.
Feed and List Management Import HR data and sort by group or line of business. Each group or line of business may be associated with unique gifts and entertainment rules.
Surveillance This module will automatically detect unusual activities based on rules you've pre-determined from your Code of Ethics.
UK Bribery Act Compliance Preventative measures for firms that are UK based, have offices in the UK, employ UK citizens, or provide any services to a UK organization, to ensure employees comply with the new UK Bribery Act.
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.
Documents & Certifications
Collect information across your organization or within a specific group with customized forms. Automating the data collection process can save substantial time and money.