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Insider Trading Compliance Solutions

Keep your compliance team in the know and reduce the chances of market abuse with our easy-to-use insider trading solution. Track which employees have material and non-public information using insider lists and compare employee trades against high-impact global events and market activity.

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AUTOMATED TRADE SCREENING
Trades Put Into Context

  • Automatically screen for employee trades that occurred prior to key market events, such as price movements, mergers, or acquisitions.
  • Following detection, easily raise a case in the STAR system, which includes links to all relevant information and news articles.
  • Interactive graphs make pinpointing where insider trading may have occurred simpler, showing relevant trades, market closing prices, and high-impact news items.
  • Demonstrate due diligence to regulators and be able to provide audit records—showing you're doing everything possible to prevent and mitigate insider trading.
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ORGANIZED, CENTRALIZED DATA
Insider List Management

  • Record all employees involved in every project, including when they join the project, what information they're privy to, and when they leave.
  • Easily manage and automate employee communications so they know when they’ve been added and removed from a list.
  • Have every detail on every project at your fingertips, if and when regulators or issuers ever request an insider list

NEWS & EVENT CORRELATION
Data Management & Enhancements

More easily detect insider trading with trade correlation against a global newsfeed that pulls hundreds of thousands of news articles from a variety of global media outlets daily.

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Schedule a personalized demo with a Star professional to see what the STAR platform can do for you.

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02

SEC Charges Investment Bank and Former ECM Syndicate Banker with “Bought Deal” Fraud

02 May, 2024

On January 12, 2024, the Securities and Exchange Commission (“SEC”) charged Morgan Stanley (the “Investment Bank”) and the former head of its equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information about bought deals (also known as and referred to as “block trades” and described below).

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24

The Pitfalls of Self-Hosting

24 Apr, 2024

Going it alone or partnering with an expert

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16

Shadow Trading Confirmed!!! Are You Ready???

16 Apr, 2024

On Friday, April 5, 2024, a San Francisco jury found Matthew Panuwat guilty of insider trading.1 Why is this case important? Because it is the U.S. Securities and Exchange Commission’s (“SEC”) first successful so-called “Shadow Trading” conviction and now joins the Classical, Misappropriation and Tipper/Tippee Theories of insider trading.

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