BUY-SIDE SOLUTIONS
Code of Ethics abuses. There are many opportunities for employees to run afoul of the rules and regulations governing financial services professionals. High-profile problems at a few firms have led to greater scrutiny from the SEC and other regulatory agencies. Charges of accepting personal gifts, front running and other violations have resulted in fines, and losses of reputation and billions of dollars of assets. These issues have led firms' clients and outside regulators to demand stronger risk and compliance controls and processes. Company Boards and senior executives now are looking to provide their institutions with software that will allow them to monitor and enforce these processes and procedures.
StarCompliance Software is the leader in providing focused compliance solutions for the buy-side. Our clients have more than $8 trillion in assets under management. We count as clients some of the most respected firms in the US and EMEA. Our clients have found that StarCompliance's software increases client productivity, significantly lowers regulatory and reputation risk, and offers a long-term, sustainable solution, that can grow with their firm. Our Next Generation software helps our clients adhere to their fiduciary responsibility and creates a culture of compliance. StarCompliance software gives them peace of mind and frees them up to focus on the larger strategic issues of their enterprise.
Our buy-side solution, Star IA, is designed to meet the specific compliance needs of investment advisors and other buy-side firms. Star IA offers both preventive and detective controls for Investment Advisors and Investment Companies, including mutual funds, asset management firms, institutional money managers, and other companies that are regulated by the SEC, as well as hedge funds and private equity firms.
Built with the user experience in mind, Star IA includes the following features.
- Surveillance Tools, Forensic Testing and Reporting. Library of pre-defined and configurable conditions and rules to find, detect and report activities. Additional back testing and ad hoc analysis and report building.
- Rules Engine. Library of pre-defined rules that are configurable, as well as ad hoc rule creation, with preventive and detective controls.
- Forms and Certifications. Library of pre-defined electronic forms and work flows designed to meet regulatory requirements. Professional and Enterprise versions can create custom certifications and work flows.
- Broker/Dealer Feeds. Activity, account and position feeds from broker/dealers.
- Firm Data Feeds. Integrate research analyst recommendations, restricted lists, order management, trade execution, HR, T&E and other feeds with the rules engine to automate controls.
- Case Management and Workflow Processing. Configurable case manager, enabling easy and effective tracking of cases and discrete events.
- Pre-Clearance. Pre-clearance of trades, brokerage accounts, gifts, entertainment, outside business activity or any other requests are available and can be configured with the rules engine and workflow processing.
- Alerts and Event Notification. Be notified in real time of any event you want to track, using configurable email, SMS or pager alerts.
- Gifts & Entertainment. Report or pre-clear gifts, political donations, etc. These automatically test against the rules engine for gift value,number of gifts, gifting period, and donor/recipient. Every entry's workflow is configurable.
- User Experience. Built for convenient, easy operation, with personalized dashboards, lists and views. Designed for any user, from occasional up to highly active investors.
Editions
Each of our products is available in three editions, Express, Professional, and Enterprise built to address the requirements of firms of all sizes and geographic reach.
- Express is designed for firms with operations solely in one country and generally less than 100 employees.
- Professional is designed for firms with operations solely in one country and several hundred to tens of thousands of employees.
- Enterprise is designed for firms with a global presence and several hundred to tens of thousands of employees.