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Making Compliance Simple And Easy

Our employee compliance technology solutions are scalable and easy to use - for both end users and administrators—helping you reduce risk, gain efficiencies, and drive employee adoption.

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  ON-DEMAND WEBINAR  
Navigating the Regulatory Shifts in 2023

Join StarCompliance for an interactive chat on the current state of financial services compliance and the key developments that regulated firms need to be aware of.

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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.

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Compliance
On-The-Go

STAR Mobile makes employee compliance simple, easy, and convenient for end users and managers. 

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The Star Platform Difference

Our Future-Ready Compliance Platform Delivers

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On-Demand 
Configurability
Respond quickly to new regulations
002-location
Multi-Jurisdictional
Support your global employee base
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Intuitive UX
Drive employee adoption with ease
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Actionable Intelligence
Provide real-time analytics
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Multi-Layered Protection
Secures employees' privacy & assets
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Future-Ready Architecture
Cloud ready & scalable

Trusted By

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Comply with Confidence

Intuitive compliance tools built for tomorrow's regulatory challenges. 
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Centralize deal data and identify business and employee conflicts

Compliance Control Room lets you organize and manage your most important inside information data flows and conduct conflict searches with ease—all from a single platform.

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Strengthen your employees' individual accountability and effectively demonstrate compliance to regulators, all with complete traceability.

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Training & Competency

Develop a culture of compliance, drive firm-wide adoption, and protect your firm's reputation with a solution that builds trust and certainty.

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Manage your License and Registration workflows with confidence

Take advantage of  centralized monitoring and easy integration with FINRA and other regulators.

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WHO WE SERVE

Star’s compliance solutions bring organization, centralization, and efficiency to overworked compliance departments around the globe—helping enterprise firms across industries manage and maintain regulatory compliance.

COMPLIANCE TEAM  COMPLIANCE LEADERSHIPTechnology Team

5 Steps to Optimizing Your Certification Process

It's that time of year again! Help your teams prepare for annual certifications and attestations with our annual certification checklist. From prep-work to software, these tips will ensure your team is ready for 2023!

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TALK TO THE EXPERTS

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

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28

How Can Compliance Teams Manage Their Representatives’ License and Registration Process More Effectively?

28 Mar, 2023

The process of registering for and obtaining a financial securities license can be a complex and time-consuming nightmare. In the US, individuals selling investments professionally are required to obtain a securities license from FINRA. This is a multi-step process where securities professionals must pass qualifying exams, in which there are different levels, to demonstrate their competence before they are allowed to engage in certain securities activities. If firms fail to stay ahead, not only is it costly for them to pay for the reopening of exam windows or late filings, but also the loss of time from being unable to capitalize on the activities of their registered representatives.

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15

Casting Further Light on Shadow Trading

15 Mar, 2023

When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy the company he worked for, he is alleged to have bought options in another competitor’s stock prior to the news of the acquisition going public. This led to him being accused by the SEC in 2021 of insider trading. But while the SEC prosecutes approximately 50 insider trading cases a year, this was not the typical misappropriation of information or tipper/tippee liability but an instance of what has since been dubbed ‘shadow trading’.

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08

The Uneven Progress in Closing the Gap for Women in STEM

08 Mar, 2023

International Women’s Day is a time to reflect on the advances that women have made in society and culture and to recognise the challenges we still need to overcome. 

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