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 trading and investments meet all regulatory and internal policy requirements.
Gain comprehensive pre-clearance and post-trade oversight across 100+ crypto exchanges and 25+ blockchains.
Simplify declarations for employees holding non-publicly traded investments.
Track and report gifts and entertainment—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.
Monitor employee trading against market activity and public news to detect potential insider risks.
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.
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.
Accountability & Competency
Comply with global accountability regimes by fortifying employee accountability, training, and competency.
Meet regulatory requirements across the UK, Singapore, Ireland, and Australia.
Track employee training, manage certifications, and ensure ongoing compliance through customizable oversight and reporting.
License & Registration
Take advantage of centralized monitoring and easy integration with FINRA and other regulators.
Streamlined broker-dealer licensing and registration processes for employees and compliance teams.
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)…
