Personal Trading
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
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Gifts and Entertainment
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.
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Outside Activity
Avoid regulatory compliance breaches arising from employee external business activities.
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Private Investments
Simplify the declaration of employee private investments with outside organizations.
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Insider Trading
Actively manage employee trading in the context of current market activity and news events to guard against insider trading and protect your company’s reputation.
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Political Donations
Save time and resources safeguarding your business from conflicts of interest arising from political alignments or associations among employees worldwide.
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Star's Incident Management solution offers the industry’s most comprehensive intake methods for reporting your company’s concerns, and collects, manages, and resolves any incidents that arise. This solution includes a powerful workflow engine and notification matrix along with a comprehensive, easy-to-use reporting and analysis platform.
Star's Policy Management solution makes creating, maintaining, and managing your policies simple. In addition, this solution offers easy mobile access for employees to review and attest to policies, includes access to a large policy library to quickly drop in augment your existing policies, and seamlessly integrates into Star's Incident Management platform.
MANAGE YOUR WORKFLOWS WITH CONFIDENCE
Star’s License & Registration solution provides a direct connection to FINRA,
step-by-step visibility, and easy monitoring from one, centralized location.
