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.
Watch/Restricted List Management
Insider List Management
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.
01 Jun, 2023
The news agenda never stands still, and the regulatory landscape constantly shifts in its wake – the introduction of new and updated regulations is frequently event-driven, with legislation enacted in response to bad news, such as economic crises, geopolitical disruption, and large-scale financial crime.
18 May, 2023
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. Use the recommendations in this guide to prepare your FCA reports and stay compliant.
10 May, 2023
When MiFID II was introduced in 2018, it dramatically altered the way sell-side research was issued to the buy-side, especially in the US. Specifically, European sell-side firms were required to unbundle trading and research, forcing almost all asset managers to pay for research in cash only. This is in direct contrast to the US, where it has been standard practice for buy-side firms to pay for research via order flow or commissions and doesn’t permit broker-dealers to receive cash remuneration.