Call upon critical data from existing firm systems by integrating your deal management, order management, human resources, and research tools to 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.
22 Feb, 2024
In the US, all companies planning an initial public offering (IPO) and those with securities outstanding must comply with the whistleblowing requirements of the Sarbanes-Oxley Act (SOX). What do they need to know?
20 Feb, 2024
The popularity of crypto assets among the public has skyrocketed in recent years, as people become more familiar with what they are and how they can access and use them. There are now over 20,000 cryptocurrencies in existence, with 17% of US adults saying that they invested in, traded or used a cryptocurrency in 2023. But as with traditional securities, conflicts of interest may arise when employees trade crypto assets, putting both the firm and individual employees at risk. Compliance teams must therefore take the necessary precautions.
20 Feb, 2024
As mainstream adoption of digital assets increases globally, regulatory scrutiny is on the rise. As with any asset, conflicts of interest may arise when employees trade crypto assets, putting both the firm and individual employees at risk. With Rule 204A-1 of the Investment Advisers Act of 1940 mandating that registered investment advisers adopt policies and procedures requiring their employees to report personal transactions and holdings in reportable securities, there is growing concern among firms that they may be held liable for the crypto trading activity of their employees.