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BANKING CONFLICTS AND MARKET INTEGRITY
Building Integrated Controls Across Business Lines
In modern banking institutions, confidential information drives advisory, underwriting, lending, and trading activity across both client-facing and market-facing functions. Safeguarding MNPI is not just a regulatory requirement; it is essential to preserving client trust and market integrity. As information flows across business lines and employee conflicts intersect with personal trading and outside interests, banks must integrate strong MNPI controls with robust personal account dealing oversight to reduce market abuse risk and regulatory exposure.
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.
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