MANAGING INFORMATION RISK IN BANKING

Supporting Financial Institutions

For investment banks and diversified banking groups, managing material non-public information requires centralized oversight. High deal volumes, complex transactions, and interaction between buy side and sell side activities mean sensitive information must be tightly controlled across the organization.

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Trusted by firms around the world

Control Room Governance

Strong Control Room functions support this oversight through structured information barriers, restricted and watch lists, wall-crossing procedures, and clear audit trails. These controls help firms manage MNPI consistently across trading, research, and corporate banking activities while maintaining market integrity.

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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.

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INTEGRATED COMPLIANCE FOR COMPLEX BANKING ENVIRONMENTS

Connecting Control Room Oversight with Employee Conduct Governance

StarCompliance supports banks with integrated, purpose-built technology that strengthens Control Room functions and employee conduct oversight within a single framework. By centralizing MNPI management, restricted and watch lists, wall-crossing approvals, and audit-ready documentation, the platform reinforces robust information barriers across business lines. At the same time, structured pre-clearance, trade monitoring, and disclosure management enhance personal account dealing compliance and provide visibility into employee trading and potential conflicts.

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Featured Resource

The New Compliance Reality for Banks

Designed for compliance, risk, legal, and governance professionals across global banking, this eBook provides practical guidance to help firms align governance, data, and monitoring in an increasingly complex regulatory environment.