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COMPLIANCE
CONTROL ROOM

Make faster, smarter decisions and reduce firm risk with  Compliance Control Room (CCR) – a 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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MNPI

Private Equity & Asset Management Firms

CCR 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 CCR 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 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.
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Enterprise Conflicts MNPI-1
Investments Banks

Enterprise Conflicts Management

CCR 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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MNPI Management ipad
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 identify 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.

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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01

Combat Insider Trading with Global Newsfeeds

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.  

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8 Best Practices for Maintaining FCA Compliance

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.

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Managing Regulatory Compliance Risk Efficiently Today & Future-Proofing for Tomorrow

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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.  

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