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.
Political Activity
This module prevents employees from violating federal, state and municipal regulatory contribution guidelines by illegally influencing contract awards for investment services, a practice commonly referred to as 'pay to play'. This is how it works:
Pre-Clearance RequestsEmployee political contribution requests are instantly matched against your firm's political contribution rules. Potential violations at the federal, state and municipal levels are flagged 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 lists of beneficiaries at the federal, state and municipal levels.
SurveillanceAutomatically detect potential violations after donations have occurred and instruct employees to recover these donations.
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.
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.