<img height="1" width="1" style="display:none;" alt="" src="https://dc.ads.linkedin.com/collect/?pid=378468&amp;fmt=gif">


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. 

BOOK A DEMO
MNPI

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?
Learn More

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?
Learn More


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.
ccr eco system_2023
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.

 

Download Brochure
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. 

Download Brochure
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​”​
iStock-983289024-1

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.

TALK TO THE EXPERTS

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

BOOK A DEMO

16

Shadow Trading Confirmed!!! Are You Ready???

16 Apr, 2024

On Friday, April 5, 2024, a San Francisco jury found Matthew Panuwat guilty of insider trading.1 Why is this case important? Because it is the U.S. Securities and Exchange Commission’s (“SEC”) first successful so-called “Shadow Trading” conviction and now joins the Classical, Misappropriation and Tipper/Tippee Theories of insider trading.

Read more
09

3 Key Insights From Star’s “IAF Made Simple: Your Roadmap to Compliance Success” Webinar

09 Apr, 2024

With another IAF deadline fast approaching, firms are looking for ways to prepare themselves for the next cycle in compliance success, if they haven’t already. In Star's recent webinar with Áine Hickey, Vice President at the Compliance Institute of Ireland, and Kian Caulwell, Partner & Head of Financial Services Consulting at Mazars Ireland, we explore the current mindset among firms and the striking realities of increased accountability in financial services.

Read more
05

3 Takeaways from Star's "FAR Decoded: Key Insights & Strategies for Success" Webinar

05 Apr, 2024

With the Financial Accountability Regime (FAR) in Australia going live on 15 March 2024 for the banking industry, firms need to have in place robust frameworks to ensure seamless adoption and continually demonstrate compliance with the new regulation.

Read more
 
  •   +1 301.340.3900

  • Copyright © 2022 StarCompliance All Rights Reserved