Why Select StarCompliance Software?
For financial services firms of all sizes that are looking to employ compliance Best Practices, whether by adding compliance software for the first time to replace manual or proprietary systems, or by upgrading their compliance software to a more scalable, flexible and reliable product, StarCompliance Software offers a compelling solution.
StarCompliance Software is the leading global provider of compliance and regulatory software designed to help financial institutions prevent or detect potential employee conflicts of interest. StarCompliance’s software leverages our eight years of experience developing compliance software solutions for the financial services industry. Our software products are scalable and user-friendly, increasing client productivity whilst significantly lowering regulatory and reputation risk.
StarCompliance provides enterprise-strength software tailored to the needs of firms of different sizes and requirements at an affordable price without compromising user friendliness, data integrity or regulatory requirements. We are the first firm to provide several software editions to address employee conflicts of interest such a personal trading, outside business activity and gifts, meals and entertainment. Each edition is specifically designed for the needs of different types and sizes of financial institutions.
StarCompliance software, which was developed in conjunction with existing clients, consultants, and law firms specializing in SEC, FINRA and FSA regulations, provides clients with an integrated and streamlined compliance process for managing, preventing, detecting, reporting, enforcing, and resolving employee conflicts and risk surveillance activities through a single application. It helps clients automate and optimize their compliance business processes and use of data in an adaptable manner to address the changing business and regulatory requirements.
Established in 1999, Rockville, MD-based StarCompliance Software has evolved its management team, bringing in seasoned software business professionals to take the company to the next level and develop a series of new products. StarCompliance serves clients in the EMEA countries from its UK office, and North America from its Maryland headquarters.
StarCompliance offers three products and three editions geared to meet the specific compliance needs and pricing requirements of financial services firms of all types and sizes. Our products include Star IA for buy-side firms such as Investment Advisors and Investment Companies, Star BD for sell-side firms such as broker/dealers, and Star IA/BD for diversified financial institutions that are involved in both buy-side and sell-side activities, and dually regulated.
Each of these products is available in three editions, Express, Professional, and Enterprise, built to address the requirements of firms of all sizes and geographic reach.
Built with the user experience in mind, our software solutions include the following features.
- Surveillance Tools, Forensic Testing and Reporting. Library of pre-defined and configurable conditions and rules to detect and report activities. Additional back testing, ad hoc analysis and report creation.
- 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 workflows designed to meet regulatory requirements. Professional and Enterprise versions can create custom certifications and workflows.
- Broker/Dealer Feeds. Activity, account and position feeds from broker/dealers.
- Firm Data Feeds. Integrate Research Analyst recommendations, Restricted Lists, Order Management, trade execution, Human Resource System, Trade and Execution 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 is 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 emails.
- Gifts & Entertainment. Report gifts, meals, entertainment activities and political donations. These automatically test against the rules engine for gift value, number of gifts, gifting period, and donor/recipient.
- User Experience. Built for convenient and easy operation. Designed for any user, from occasional up to highly active investors.
- Audit Trail. A full audit trail of current and historical requests, trades, violations, and resolutions.
StarCompliance Software… A sustainable, enterprise-strength system for firms of all sizes that grows as your business requirements and regulatory landscape change.