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.
The enterprise software shown in this graphic are not an exhaustive list of Star’s integration capabilities.
The ‘swivel chair’ approach to managing MNPI is inefficient and makes it difficult to gain a clear, transparent understanding of the information your employees hold.
Prevent and detect the misuse of MNPI by building a single source of truth for MNPI-related activities and ensure the right information makes it into the hands of compliance.
Market Abuse Regulation (MAR) implemented by the FCA (UK MAR) and European Commission (EU MAR) require issuers of financial instruments to create and maintain a list of all persons who have access to inside information, keep it properly updated, and be able to provide said list to a regulator upon request.
Both regulators require that said lists must include:
Whether deal-based or permanent insiders, Star’s MNPI Management tool makes it easy for firms to collate, maintain, and update Insider Lists with ease and efficiency in one central location—all in the name of protecting market integrity.
21 Sep, 2023
In a world where adherence to regulatory standards must be the gold standard, we need a candidate that will not only prompt us to excellence, but also embodies truth, transparency and speed when addressing employee conflict of interest and political donations. I’m proud to introduce someone that we can all rally behind…
07 Sep, 2023
In the second of two blogs regarding the “swivel chair” Compliance professionals experience when monitoring access to material, nonpublic information (“MNPI”) –– we reference the multiple applications, emails, excel sheets, and other siloed materials across the business needed to create one source of truth for identifying potential risks. For Private Equity firms doing deals, by the time that information is collated, compared, and checked, the situation has changed, new team members may already be staffed, and it’s back to square one. Sound familiar?
01 Sep, 2023
The regulatory landscape is rapidly evolving, placing new demands on businesses and their compliance teams. Compliance management solutions have the power to help compliance officers stay one step ahead of emerging regulations—Lauren St. Armand, Head of Marketing at StarCompliance, is on hand to show us how.