Compliance solutions

Employee Trading

A good compliance program should not limit the entrepreneurial spirit of either a firm or its employees, which is why we have made sure that our Employee Trading module keeps your business interests safe while accommodating your employees’ trading. STAR's Employee Trading module hosts and manages trading data for use in automatic and manual reviews, thus increasing productivity and lowering regulatory risk. Employees follow a quick and straightforward process, recording their trading activities with minimum effort and maximum efficiency.

Pre-Clearance

The STAR system manages your employees' personal trade requests to ensure your clients' interests come first. The system checks current and historical records, all fully configurable, to verify that your employees personal account dealings are consistent with your policies.

Employee trade requests are subject to pre-clearance: our application can automate your business rules and apply them to these requests. Our powerful rules engine will subsequently evaluate all trade requests based on your configured parameters to detect conflicts of interest before they arise.

Broker Management

STAR facilitates easy and efficient management of employee trading data by providing Broker Feed reconciliation and automatic transaction-matching capabilities. Our partner companies provide up-to-date Broker Feeds that are reconciled against submitted employee data, in order to detect abnormalities and correct internally held data. StarCompliance have entirely removed the need for manual paper statement checks.

More on Secure Data Entry

Review

Trade requests are subject to highly configurable rules. You can create review triggers to add multiple tiers of review before a request is approved and implement dynamic controls to ensure reviews are carried out quickly and efficiently.

See Reporting Module