The MNPI Compliance Handbook
A comprehensive guide to MNPI and control room design and development: optimization best practices, defining scope/mandate, software/tech, and more.
Trusted by firms around the world
PROTECT YOUR FIRM
Stay Ahead of Risk
Employee conflicts of interest create significant compliance risks for asset management firms. From personal trading to outside business activities, firms need clear policies and efficient processes to prevent misconduct.
Star’s Employee Conflicts of Interest solution automates workflows, reduces friction, and flags risks in real time—giving compliance teams the visibility and control they need.
KNOW THE RISKS
Market Sounding Is On the Rise
Market sounding events are more frequent and complex than ever before, putting increased pressure on compliance processes. When these events occur, firms must identify stakeholders, manage insider lists, track restricted securities, and ensure compliance with global regulations.
The right technology streamlines this process, enabling employees to self-report MNPI upfront—eliminating manual follow-ups and email chains. With a single source of truth, compliance teams gain full visibility and control, making risk mitigation more efficient. Clear, repeatable processes for handling sensitive data strengthen compliance, reduce regulatory risk, and uphold fair market practices.
StarCompliance Enterprise
Ensure employee trading and investments meet all regulatory and internal policy requirements.
Gain comprehensive pre-clearance and post-trade oversight across 35+ exchanges, 30+ blockchains, 200+ tokens.
Simplify declarations for employees holding non-publicly traded investments.
Track and report gifts and hospitality—given or received—to stay compliant with anti-bribery regulations.
Easily capture and manage employee disclosures for external business engagements.
Enforce pay-to-play thresholds and minimize employee-related risk with purpose-built tracking and controls.
Automatically compare firm trades against watch lists and restricted lists to detect and investigate potential trading risks.
Streamlined broker-dealer licensing and registration processes for employees and compliance teams.
Automate and standardize sales oversight to ensure every interaction meets compliance and conduct standards.
Meet regulatory requirements across the UK, Singapore, Ireland, and Australia.
Track employee training, manage certifications, and ensure ongoing compliance through customizable oversight and reporting.
Centralize MNPI oversight with tools for wall crossings, insider lists, restricted lists, and more.
Manage conflicts, monitor deal teams, and streamline wall crossing workflows with StarCompliance Enterprise.
Related Assets
Global Asset Management Company Implements Star’s MNPI & Enterprise Conflicts Solution
To enable more secure information barriers & provide a centralized platform to increase efficiency after the acquisition of an alternative investments firm.
Retiring the Swivel Chair: Making MNPI Easier to Monitor for Asset Management Firms
Monitoring access to material, nonpublic information (“MNPI”) is too often managed in a ‘swivel chair’ –– Compliance professionals referencing multiple applications, emails, excel sheets,…
Part 2 | Retiring the Swivel Chair: Making MNPI Easier to Monitor for Private Equity
In the second of two blogs regarding the “swivel chair” Compliance professionals experience when monitoring access to material, nonpublic information (“MNPI”) –– we reference…
Controlling MNPI On The Buy-Side
Whether you are receiving MNPI from a market sounding event or through other means, tune in to learn how Star’s Compliance Control Room (CCR)…
