Regulatory Compliance Software

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.

Synergy '23
Roadshow

The spirit behind Synergy ’23 is to gather the brightest minds in our industry to listen, learn and support each other as a community. By connecting compliance, culture, and technology, we can reimagine the evolution of compliance together.

Personal Trading Ensure employee personal trading and investments comply with all regulatory requirements and company policies. Find out more »

Gifts and Entertainment Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations. Find out more »

Outside Activity Avoid regulatory compliance breaches arising from employee external business activities. Find out more »

Private Investments Simplify the declaration of employee private investments with outside organizations. Find out more »

Insider Trading Actively manage employee trading in the context of current market activity and news events to protect your company's reputation. Find out more »

Political Donations Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide. Find out more »

Incident Management

CaseTrac™ offers the industry’s most comprehensive intake methods for reporting your company’s concerns, and collects, manages, and resolves any incidents that arise. This solution includes a powerful workflow engine and notification matrix along with a comprehensive, easy-to-use reporting and analysis platform.

Policy Management

PolicyTrac™ makes creating, maintaining, and managing your policies simple. In addition, this solution offers easy mobile access for employees to review and attest to policies, includes access to a large policy library to quickly drop in augment your existing policies, and seamlessly integrates into the CaseTrac case management platform.

Employee Training Encourage appropriate conduct and adoption with the largest portfolio of learning content for ethics and compliance. Find out more » Digital Call Center

This bot-driven process translates and is the fastest growing, cost-effective intake process on the market.

Find out more » Exit & Stay Interviews

Drive continuous improvement and conduct surveys securely for existing and departing employees.

Find out more »

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

Manage your License and Registration workflows with confidence

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

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.

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.

EMPLOYEE CONFLICTS OF INTEREST

The Compliance ‘Whistle-Stop’ Tour

21 Sep, 2023

In a world where adherence to regulatory standards must be the gold standard, we need a candidate that will not only prompt us to excellence, but also embodies truth, transparency and speed when addressing employee conflict of interest and political donations. I’m proud to introduce someone that we can all rally behind…

MNPI & Enterprise Conflicts

Part 2 | Retiring the Swivel Chair: Making MNPI Easier to Monitor for Private Equity

07 Sep, 2023

In the second of two blogs regarding the “swivel chair” Compliance professionals experience when monitoring access to material, nonpublic information (“MNPI”) –– we reference the multiple applications, emails, excel sheets, and other siloed materials across the business needed to create one source of truth for identifying potential risks. For Private Equity firms doing deals, by the time that information is collated, compared, and checked, the situation has changed, new team members may already be staffed, and it’s back to square one. Sound familiar?

Compliance Management: What It Is & Why It’s Necessary

01 Sep, 2023

The regulatory landscape is rapidly evolving, placing new demands on businesses and their compliance teams. Compliance management solutions have the power to help compliance officers stay one step ahead of emerging regulations—Lauren St. Armand, Head of Marketing at StarCompliance, is on hand to show us how.

Making Compliance Simple And Easy

Synergy '23
Roadshow

Incident & Policy
Management Solution

Manage Your Workflows with Confidence

Compliance
On-The-Go

The Star Platform Difference

Our Future-Ready Compliance Platform Delivers

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