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MNPI & Enterprise Conflicts

Make faster, smarter decisions and reduce firm risk with  our full-service solution used by enterprise financial firms to capture and monitor the flow of  Material Non-Public Information (MNPI) and identify and properly manage enterprise conflicts. 

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Private Equity & Asset Management Firms

Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
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BanksInvestment Banks

Around the globe, investment banks are using the STAR Platform to spot enterprise conflicts, manage wall crossings, monitor deal teams, and more. Interested in streamlining workflows and improving transparency?
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Integration Capabilities

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.

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Enterprise Conflicts MNPI-1
Investment Banks

Enterprise Conflicts Management

Our solution was designed to create  transparency and to  simplify critical workflows between employees, the business, and compliance. ​ 

Below are the key workflows we offer to create efficiency for enterprise firms.

 

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Enterprise Conflict Checking​
  • Surface potential conflicts quickly across all deals, employees, and related parties ​​ 
  • Integrate with key systems and data to extend your view & conflict checks ​ 
  • View key information throughout the deal life-cycle​​ 
  • Track, record and monitor wall crossing and market sounding requests and approvals​​ 
  • Make it easy for employees to report MNPI from the employee portal​ 
Centralized List Management
  • Maintain and update your global watch and/or restricted lists from one system​ 
  • Restrict companies and securities supported by a robust security master and legal entity database learn more
  • Insider List Management​​ 
  • Maintain lists of individuals who are aware of MNPI ​​ 
Detailed Audit Tracking​
  • View creations, changes, and deletions across the lifecycle of a deal​ 
  • Track the lifecycle of MNPI events, including creations, changes, and deletions
Private Equity & Asset Management Firms

MNPI Management

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. 

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Report and Manage MNPI
  • Make it easy for employees to report MNPI from the employee portal 
  • Attach MNPI details to specific projects 

Surveil Against MNPI
  • Gain transparency into activities that check against the watch/restricted lists: employee, firm & customer trading, research, and conflict

Manage Wall Crossing and Market Sounding Approvals 
  • Track, record and monitor wall crossing & market sounding requests and approvals
  • Make it easy for employees to seek and obtain approvals from the employee portal
Centralized List Management​

Watch/Restricted List Management​​ 

    • Maintain and update your global watch and/or restricted lists in one system 
    • Restrict companies and securities at the project level 

Insider List Management​​ 

    • Maintain a list of employees and third-party contacts who hold MNPI and would be considered “insiders​”
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MNPI & MAR 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:

  • The identity of any person having access to inside information
  • The reason for including that person on the insider list
  • The date and time that person gained access to inside information
  • The date on which the insider list was drawn up

 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.

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

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22

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