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Our experts partner with compliance teams around the world to provide customizable, user-friendly software solutions designed to simplify every-day compliance processes while ensuring you meet the strictest regulatory standards.

Our system offers a host of benefits and reassurances for compliance leaders, compliance teams and technology specialists.

Automated conflict of interest detection and mitigation helps your compliance teams work better, faster and more effectively. The rigor of our reporting, surveillance, certification and security systems provides complete peace of mind for Chief Compliance Officers and board members.

Helping you to detect and prevent market abuses that could jeopardize your reputation and regulatory compliance. Actively manage insider lists and investigate employee trading in the context of current market activity and events.

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.

Whether for work or pleasure, it’s a mobile world. And a mobile workforce calls for mobile solutions. Introducing STAR Mobile. With STAR Mobile, employees pre-clear activity and report transactions on-the-go. Supervisors review escalated requests anywhere there’s a cell connection.

Helping you to actively manage employee trading in the context of market activity and events to guard against insider trading.

Create unlimited projects to easily manage and monitor dynamic lists of employees who have access to insider information.

Compliance Control Room's enterprise-level single platform centralizes all your firm's deal-related activity—letting you manage control room activities more efficiently and effectively.

Increase employee participation. Increase data accuracy. Increase responsiveness. STAR Mobile is a native app that makes compliance simple, easy, and convenient.



COMPLIANCE
CONTROL ROOM

Compliance Control Room collects and organizes your firm's deal information flows so you can more easily manage and monitor them. All from a single platform.

 

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COLLABORATE SIMPLY AND EASILY
Centralized Deal Management

  • Ensure timely collaboration between deal owners, deal-team members, control-room teams, and compliance and risk leadership.
  • Employees easily create new deals using a step-by-step wizard that gathers all critical information needed by the compliance team for review and clearance.
  • Request, record, and review all deal-related information, including involved public and private companies and company insiders.
  • Maintain and update thousands of active deals across multiple jurisdictions, view key information, and initiate workflow requests.
  • Get a consolidated view of deals as they progress through the deal life-cycle.
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Control Room Graphic
CCR-Create-Conflict

SURFACE CONFLICTS QUICKLY
Sophisticated Conflicts Checking

  • Save time and resources and reduce the risk of human error with software that will search the deal database and surface potential conflicts in seconds.
  • Search for and manage inter-deal conflicts, as well as potential employee and third-party conflicts of interest, across all deals and all related parties.
  • Cross check against firm research to ensure there are no conflicts with active deals or misuse of MNPI.
  • Add potential conflicts to a centralized register, request additional information from deal stakeholders, and assign team members to review, investigate, and resolve.

MONITOR MNPI COMPREHENSIVELY
Firm-Wide Reporting Functionality

  • Track, record, and monitor wall crossing requests and approvals as deal-team members initiate requests for employees to move from the public to the private side of a deal.
  • The employee portal allows people anywhere in the company to report receipt of MNPI, whether it originates on a firm's public side or private side.
  • Monitor all published firm research from a single, centralized place, and ensure there are no conflicts with active deals or misuse of MNPI.
BOOK A DEMO  LEARN MORE
CRR-Wall-Crossings
CCR-Watch-List

RETIRE YOUR SPREADSHEETS
Centralized List Management

  • Upgrade to secure centralized lists you can update and change in seconds.
  • Watch/Restricted List Management: Add, delete, and edit entries to your global watch and restricted lists.
  • Associate entries with projects and associate each entry with the type of required restriction.
  • Insider List Management: Maintain a list of employees and third-party contacts who hold MNPI and would therefore be considered insiders against a project.
  • Associate entries down to the project level and type of required restriction. Eliminate duplicative data entry by publishing lists to downstream systems.

GET CLEARER INSIGHTS
Easy Systems Integrations

  • Integrate with all your existing firm systems, including deal management, order management, human resources, and research.
  • Use Compliance Control Room in concert with Star's employee conflicts monitoring suite to give your control room team an even wider view of firm activity.
BOOK A DEMO   DOWNLOAD CHECKLIST
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CCR-Audit-Log

INCREASE AUDIT READINESS
Detailed Audit Logs

  • Maintain a detailed audit trail for every creation, change, or deletion event against a deal, at any point in the deal lifecycle.
  • Generate meaningful management information and insightful analytics on every key aspect of deal activity, including conflicts, breaches, and resolutions.
  • Search and run reports on demand to provide to internal and external auditors.

TALK TO THE EXPERTS

Schedule a personalized demo with a Star professional to see what the STAR platform can do for you.

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