Our experts partner with compliance teams around the world to provide customizable, user-friendly software solutions designed to simplify every-day compliance processes while ensuring you meet the strictest regulatory standards.

Our system offers a host of benefits and reassurances for compliance leaders, compliance teams and technology specialists.

Automated conflict of interest detection and mitigation helps your compliance teams work better, faster and more effectively. The rigor of our reporting, surveillance, certification and security systems provides complete peace of mind for Chief Compliance Officers and board members.

Helping you to detect and prevent market abuses that could jeopardize your reputation and regulatory compliance. Actively manage insider lists and investigate employee trading in the context of current market activity and events.

Ensure employees’ personal trading and investments comply with all regulatory requirements and company policies.

Ensure employees’ personal investments comply with all regulatory requirements and company policies.

Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.

Avoid regulatory compliance breaches arising from employees’ external business activities.

Save time and resources in safeguarding your business from political conflicts of interest among employees worldwide.

Helping you to actively manage employee trading in the context of market activity and events to guard against insider trading.

Create unlimited projects to easily manage and monitor dynamic lists of employees who have access to insider information.

OUTSIDE BUSINESS ACTIVITY

Avoid conflicts of interest associated with employees’ external business activities

Employees with business interests or board-level roles outside your company need to be especially careful to avoid activities that could cause conflict with your business. The STAR platform enables your employees to quickly and easily declare outside business activities. The outside interest declaration forms available through STAR can be fully customized for your organization.
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Types of outside business activity

Using the STAR application, your Compliance teams can monitor the outside business activities of all employees. STAR features fully customizable outside activity declaration forms, facilitating every external business declaration imaginable, including:

  • Board-level roles outside the firm
  • Directorships
  • Charitable donations
  • Family members or connected individuals working at other financial firms

Your STAR Outside Business Activity product offers:

Outside activity pre clearance
Pre-clearance
accelerate decisions on outside business activities

The STAR platform enables you to automate all of your outside business activity pre-clearance processes. Employees can quickly and easily submit external business declarations and pre-clearance requests.

The pre-clearance feature maximizes the benefits of STAR’s integration with your company’s HR system, so all details about each employee are taken into account, along with historical business activity records, when making decisions about whether a requested activity constitutes a conflict of interest.

The STAR application keeps an active record of outside activities for all your employees so that potential conflicts can be easily detected and addressed.

With STAR, there are no limits on the number of external activity declarations, nor on their content. You can customize the wording, question types and format of your declarations to ensure they align with your company policies.

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Certifications & attestations
PROOF OF REGULATORY RIGOR

Your STAR application enables you to automatically collect and store regulatory certifications and attestations from your employees. At regular intervals you can collate all data on each employee into an attestation or certificate for them to check and approve. It gives the employee an opportunity to flag any inaccuracies in their records or to report anything that has been missed. By submitting an approved attestation, the employee is confirming that all recorded information, business activities and transactions are accurate and comprehensive. It gives your business further proof that you are doing everything possible to detect and prevent conflicts of interest.

All approved certificates are stored by the system for future reference, and can be viewed or downloaded by your compliance team at any time. The system can also be used to push out information to employees, such as your latest policies and industry regulations, so that employees can confirm they have read and understood them. It’s a way of demonstrating to regulators that you are taking the necessary steps to keep employees fully informed of essential compliance information and restrictions.

Outside activity reporting
Reporting and management information
ALL THE DATA YOU NEED AT YOUR FINGERTIPS

The STAR software includes a comprehensive reporting and management information suite. It gives compliance teams a 360-degree view of all employee behavior and activity, allowing them to search for data in any field and export information for further analysis.

Importantly, for compliance directors and managers, the platform enables detailed, meaningful and accessible reports to be generated. There are more than 100 standard reports in the system, and you can design many more to suit your requirements. You can choose from a range of useful visualizations, graphs and charts to make the information clear and easy to interpret and understand.

Talk to the experts

If you’re looking for software with robust compliance solutions that will improve business efficiency while safeguarding the integrity and reputation of your organization, look no further. Schedule a personalized demo with a Star professional to see what the STAR platform can do for you.