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.

Ensure employees’ personal trading and investments comply with all regulatory requirements and company policies.

Ensure employees’ personal investments comply with all regulatory requirements and company policies.

Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.

Avoid regulatory compliance breaches arising from employees’ external business activities.

Save time and resources in safeguarding your business from political conflicts of interest among employees worldwide.

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.

    PRIVATE INVESTMENTS

    Monitor employee private investments and avoid conflicts of interest with outside organisations

    Conflicts of interest between outside organisations and your firm can be avoided with our Private Investment product, enabling you to monitor employee activity related to personal investment decisions. StarCompliance software enables your employees to quickly and easily declare private investments, using fully customisable declaration forms.
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    Your Private Investment product offers:

    Personal trading pre clearance
    Pre-clearance
    automated permissions for private investments

    The STAR platform enables you to automate all of your private investment pre-clearance activities. Employees can use the system to quickly ask permission to make private investments. They simply log in to the web-based application, fill out a pre-clearance request form and await an automated approval or denial decision. Positions can be later updated if changes occur within the private investment.

    The pre-clearance feature maximises the benefits of STAR’s integration with your company’s HR system, so all details about each employee are taken into account, along with historical trading records, when making decisions about whether a requested trade constitutes a conflict of interest.

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    Surveillance
    IDENTIFY PATTERNS OR ANOMALIES IN BEHAVIOR

    Your STAR application enables you to automatically collect and store regulatory certifications and attestations from your employees. At regular intervals you can collate all data on each employee into an attestation or certificate for them to check and approve. It gives the employee an opportunity to flag any inaccuracies in their records or to report anything that has been missed. By submitting an approved attestation, the employee is confirming that all recorded information, business activities and transactions are accurate and comprehensive. It gives your business further proof that you are doing everything possible to detect and prevent conflicts of interest.

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    Certifications & attestations
    PROOF OF REGULATORY RIGOR

    Your STAR application enables you to automatically collect and store regulatory certifications and attestations from your employees. At regular intervals you can collate all data on each employee into an attestation or certificate for them to check and approve. It gives the employee an opportunity to flag any inaccuracies in their records or to report anything that has been missed. By submitting an approved attestation, the employee is confirming that all recorded information, business activities and transactions are accurate and comprehensive. It gives your business further proof that you are doing everything possible to detect and prevent conflicts of interest.

    All approved certificates are stored by the system for future reference, and can be viewed or downloaded by your compliance team at any time. The system can also be used to push out information to employees, such as your latest policies and industry regulations, so that employees can confirm they have read and understood them. It’s a way of demonstrating to regulators that you are taking the necessary steps to keep employees fully informed of essential compliance information and restrictions.

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    Private Investment Rules
    assess requests against your code of ethics

    The rules applied to personal investment requests by the STAR software are highly configurable. Each request goes through a rules engine programmed with your business’s specific rules and policies. In cases where automated approval or denial is not possible, the system will escalate the request to a multi-level review process, with queries sent out to relevant decision-makers in your business. You can create review triggers to add multiple tiers of review before a request is approved. Dynamic controls ensure that reviews are carried out quickly and efficiently.

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    Case management
    from detection to resolution

    The STAR case-management feature brings together all possible private investments that may require investigation by your compliance team. You can collate data and evidence, add annotations and assign the case to relevant team members for resolution. The whole cycle, from detection through investigation to resolution is recorded on the system for audit purposes, with management reports available to help identify trends and support continuous improvement.

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    Reporting and management information
    all the data you need at your fingertips

    The STAR reporting and management information suite gives compliance teams a 360-degree view of all employee behavior and activity. It enables comprehensive and meaningful reports to be generated, which can be fully customized. There are more than 100 standard reports in the system, and you can design many more to suit your requirements. You can choose from a range of intuitive graphs and charts to make the information clear and easy to interpret.

    Additionally, you can create a suite of reports to be generated automatically at required intervals. The reports can be displayed in-app, saved for later use, distributed via email to selected personnel or exported to Excel spreadsheets.

    Talk to the experts

    If you’re looking for software with robust compliance solutions that will improve business efficiency while safeguarding the integrity and reputation of your organisation, look no further. Schedule a personalised demo with a Star professional to see what the STAR platform can do for you.