Your customized StarCompliance software will help you to identify and mitigate conflicts of interest across your business. Our conflict of interest solution includes four products that address the key areas of concern for large financial institutions:
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.
Avoid regulatory compliance breaches arising from employee external business activities.
Save time and resources safeguarding your business from conflicts of interest arising from political alignments or associations among employees worldwide.
The STAR Platform has been designed to help your compliance team detect and mitigate trading-related market abuse in your organization – helping you remain compliant with relevant aspects of market abuse regulations. Our solutions focus on enabling you to monitor employee trading in the context of significant market events and activity.
Actively manage employee trading in the context of current market activity and news events to guard against insider trading and protect your company’s reputation.
Create unlimited projects to easily manage and monitor dynamic lists of employees who have access to insider information.
Clear deals faster. Centralize deal data. Reduce your risk. Compliance Control Room lets you organize, manage, and monitor your firm's most important information flows from a single platform.
A control room is the nerve center of any global enterprise financial firm. The nexus through which all critical deal-related data and communications must pass to be organized and assessed. Many firms still use rudimentary systems, built around spreadsheets and email, to manage this complex set of tasks.
The inside scoop on FINRA rulemaking, with insights by the people who make the rules and the people who have to live with them