Comply with Confidence

Protect your business and your employees with the world’s most intuitive, configurable employee conflict of interest software on the market

Technical Expertise

(4) releases per year driven by client feedback and needs

Flexible Configurability

Intuitive to support the unique needs of your firm

Mobile Capability

Single sign-on, intuitive and seamless

The BEST Industry Track Record

20+ years experience and a 99% client retention rate

LICENSE & REGISTRATION

How Can Compliance Teams Manage Their Representatives’ License and Registration Process More Effectively?

28 Mar, 2023

The process of registering for and obtaining a financial securities license can be a complex and time-consuming nightmare. In the US, individuals selling investments professionally are required to obtain a securities license from FINRA. This is a multi-step process where securities professionals must pass qualifying exams, in which there are different levels, to demonstrate their competence before they are allowed to engage in certain securities activities. If firms fail to stay ahead, not only is it costly for them to pay for the reopening of exam windows or late filings, but also the loss of time from being unable to capitalize on the activities of their registered representatives.

INSIDER TRADING

Casting Further Light on Shadow Trading

15 Mar, 2023

When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy the company he worked for, he is alleged to have bought options in another competitor’s stock prior to the news of the acquisition going public. This led to him being accused by the SEC in 2021 of insider trading. But while the SEC prosecutes approximately 50 insider trading cases a year, this was not the typical misappropriation of information or tipper/tippee liability but an instance of what has since been dubbed ‘shadow trading’.

ETHICS & CULTURE

The Uneven Progress in Closing the Gap for Women in STEM

08 Mar, 2023

International Women’s Day is a time to reflect on the advances that women have made in society and culture and to recognise the challenges we still need to overcome.

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STAR MOBILE

How Can Compliance Teams Manage Their Representatives’ License and Registration Process More Effectively?

Casting Further Light on Shadow Trading

The Uneven Progress in Closing the Gap for Women in STEM