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.
BUILT FOR ASSET MANAGERS
Your Compliance Solution
The asset management market is expanding rapidly, projected to surge from $503.36 billion in 2024 to $7.35 trillion by 2032. With this explosive growth comes increased regulatory scrutiny, requiring firms to strengthen their compliance frameworks to manage risk and uphold market integrity.
StarCompliance provides the visibility, automation, and control compliance officers need to mitigate risk, safeguard market integrity, and ensure firm-wide compliance in an evolving regulatory landscape.
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.
STAR Solutions
Employee Conflicts of Interest
Protect your employees and reduce risk with a suite of solutions designed to address a range of issues.
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
Comprehensive pre-clearance and post-trade monitoring across 130+ exchanges and 30+ blockchains.
Simplify the declaration of employee private investments with outside organizations.
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery and corruption regulations.
Avoid regulatory compliance breaches arising from employee external business activities.
Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide.
Actively manage employee trading in the context of current market activity and news events to protect your company’s reputation.
MNPI
Centralize deal data and identify business and employee conflicts
Star’s 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.
Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
Around the globe, investment banks are using the STAR Platform to spot enterprise conflicts, manage wall crossings, monitor deal teams, and more. Interested in streamlining workflows and improving transparency?
Accountability & Competency
Comply with global accountability regimes by fortifying employee accountability, training, and competency.
Strengthen your employees’ individual accountability and effectively demonstrate compliance to regulators, all with complete traceability.
Develop a culture of compliance, drive firm-wide adoption, and protect your firm’s reputation with a solution that builds trust and certainty.
License & Registration
Take advantage of centralized monitoring and easy integration with FINRA and other regulators.
Manage your License and Registration workflows with confidence
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)…
