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The Ultimate Compliance Guide!

Build a Robust Compliance Program

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ONE PLACE FOR ALL YOUR EMPLOYEE COMPLIANCE NEEDS

Star Solutions

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Personal Trading
Ensure employee personal trading and investments comply with all regulatory requirements and company policies. 

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Gifts and Entertainment
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations. 

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Outside Activity
Avoid regulatory compliance breaches arising from employee external business activities. 

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Private Investments
Ensure employee personal trading and investments comply with all regulatory requirements and company policies. 

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Insider Trading
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.

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Political Donations
Avoid regulatory compliance breaches arising from employee external business activities.

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INDUSTRY EXPERTS

Making Compliance Simple and Easy

Our employee compliance technology solutions are scaleable and easy to use - for end users and administrators - helping you reduce risk and gain efficiencies and employee adoptions.

 

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Personal Trading Management 

Personal Trading Management can be streamlined and automated using Star’s Personal Account Dealing (PAD) solution. PAD assesses trade requests against a fully configurable rule engine you define – giving employees either an immediate automatic decision of their pre-clearance request or escalating the request through a multi-level review process. Additional features include surveillance, case management, certifications and attestations, and reporting.

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Gift Declaration Management with Star

Track and log employee gift declarations using our Gift & Entertainment (G&E) solution. G&E tracks the spending and receiving of gifts and entertainment to uphold anti-bribery regulations. Employees fill out a pre-clearance form which is checked against the limits you define. Spend requests related to specific individuals or companies are aggregated to ensure limits aren’t exceeded and you can define a pre-selected list of companies and contacts for employees to choose from when making G&E spend or receipt requests. Additional features include surveillance, case management, and reporting.  

Declaration of Professional & Associative Activities 

Make it easy for employees to declare professional and associative activities using Star’s Outside Business Activity (OBA) solution. OBA leverages a configurable pre-clearance form you design. Document and monitor the most common and critical outside interests including investments, employment or advisory roles, directorships, board member roles, charitable donations, and more. Employees can also document family members or connected individuals working at other organizations. Additional features include certifications and attestations, and reporting. 

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Private Investment Compliance Solution

Simplify the declaration of employee private investments with outside organizations. Our Private Investments product lets employees quickly and easily declare their non-publicly traded investments using fully configurable forms—ensuring you stay in the know from day one.

Insider Trading Compliance Solution 

Keep your compliance team in the know and reduce the chances of market abuse with our easy-to-use insider trading solution. Track which employees have material and non-public information using insider lists and compare employee trades against high-impact global events and market activity.

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Political Donation Solution for Capital Group 

Get a fast, consistent, automated solution for detecting and mitigating potential employee conflicts of interest – saving you time and resources while improving the effectiveness of your regulatory compliance program. Our Political Donations product enables you to automatically monitor employee contributions to politicians and political entities to ensure they do not exceed donation limits. This automation reduces the time and effort required to monitor political contributions across employees in different countries, lines of business, offices and user groups. 

POWERED BY COMPLIANCE CONTROL ROOM

MNPI & Enterprise Conflicts

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Make faster, smarter decisions and reduce firm risk with  Compliance Control Room (CCR) – a full-service solution used by enterprise financial firms to capture and monitor the flow of Material Non-Public Information (MNPI) and identify and properly manage enterprise conflicts. 

Integration Capabilities  

Call upon critical data from existing firm systems by integrating your deal management, order management, human resources, and research tools with Compliance Control Room and gain an even wider view of firm activity.

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Star’s Future-ready compliance platform

Star’s SaaS platform is scalable and easy to use for both end users and administrators – built to drive employee adoption, reduce risk and gain operational efficiencies.  
 

Our Future-Ready Compliance Platform Delivers

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On-Demand Configuribility 
respond quickly to new regulations 

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Multi-Jurisdictional
 Support your global employee base

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Intuitive UX 
Drive employee adoption with ease

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Actionable Intelligence
Provide real-time analytics

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Multi-layered protection 
secures employee’s privacy & assets

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Future-Ready Architecture
Cloud-ready & scalable

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Integration with Workday 

Seamless integration with your Workday HR system saves time populating and updating the STAR platform. Using data from Workday records allows employee details to be easily added and removed, while pushing data from your master records enables individual account information to be completed automatically. 

Configurable, Automated Code Of Ethics 

STAR is characterized by its configurability, making it the most personalized compliance service on the market. Your STAR application can be entirely configured to your requirements through extensive, easy-to-use options and management tools. 

Even the most common features of our STAR platform, such as transaction submissions, are powered by our advanced rules engine, meaning that automatic approval and denial features can be configured to your specific requirements. Forms, attestations, declarations, user accounts, visibilities, permissions, roles, personas – everything can be configured to meet your needs. 

 

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Just The Facts

 The StarCompliance Difference

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Industry Experience
 20+ Years of Industry experience

profits

Investment
 $20M+ over the last 3 years into R&D

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Service & Support

Increased headcount by 131% in 2023 to support our growing client-base 

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Software Development  community-led by our robust user community of 350+ global clients 

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Expertise
75% of our team has 10+ years of experience in financial services and RegTech 

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Externally backed
Substantial backing and growth support from Marlin Equity Partners

Our Resources

Blog

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Get the Most Out of Your Compliance Management & Monitoring Tools

Understanding what compliance solutions best fit your company can help you take full advantage of its compliance management and monitoring features, and maximize the benefits.
 
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8 Best Practices for Maintaining FCA Compliance

The FCA relies on accurate and timely information from financial firms in order to identify malpractice and monitor their regulatory compliance. Failure to comply can result in severe consequences, not least of all significant fines. 
 
Shadow Trading

Shadow Trading: How to Monitor For This New Compliance Risk

The US Securities and Exchange Commission (SEC) prosecutes roughly 50 insider trading cases each year. Until 2021, each case was much like the last, involving insider transactions that could easily be categorized as classical insider trading...
 
Compliance guide

StarCompliance Guide to Control Room Compliance Software

For financial institutions with both public and private sides, compliance by way of control room isn’t a new concept. The control room serves as a compliance management solution to efficiently monitor multiple information...
 
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SENIOR SALES EXECUTIVE
Robert Rowe
+1 617-895-9377

Contact Us

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Robert Rowe