Complying With FCA’s Supervision Priorities
The Financial Conduct Authority (FCA) has recently communicated with firms in the Asset Management and Alternatives sector to build on the supervisory direction set…
SOlutions
Enterprise Conflicts Management
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.
MNPI Compliance No Longer Needs To Be Complex
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.
MNPI & Enterprise Conflicts Solutions
Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
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?
Gain greater clarity into the web of connections between employees, the enterprise, and clients by utilizing Star’s Conflict Search API. Expand your search parameters beyond the Star solution suite and tap into loan portfolio systems, trade order management platforms, research systems, and more, to surface connections and potential conflicts within seconds.
The API is lightweight, easy to setup, and doesn’t require formal integration points between systems. Users have complete control over the specific data points to be searched, the data refresh frequency, and the level of detail be populated back into STAR. This limited, controlled data access minimizes the amount of data exposed between systems while keeping data accessibility and visibility intact.
Here’s how it works:
Expand conflict searches beyond data housed in the STAR Platform to include data residing in other enterprise systems.
Significantly reduce manual effort and the risk of conflicts going unnoticed.
Gain a more comprehensive view of relationships across the enterprise, employees, and clients.
Clear activities and business dealings with speed and confidence.
Document and resolve conflicts from a centralized location and generate a clear audit trail of approvals and investigations.
Extensive Conflict Checks
Surface conflicts quickly across deals, employees, and related parties and integrate with other key systems to extend your search.
Centralized List Management
Maintain watch lists and restricted lists from one system and utilize them to restrict activities against specific companies or securities.
Insider List Management
Create and maintain lists of individuals by deal or project who are aware of, or have access to, related Material Non-Public Information (MNPI).
Wall Crossings & Market Sounding
Document and monitor requests and approvals and attach them to related deals or projects within the system.
Audit Readiness
Maintain a detailed audit trail for every creation, change, or deletion throughout the lifecycle of a deal or project.
Employee Portal
Empower employees to self-report (MNPI) by giving them access to STAR’s employee portal.
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.
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.
Trusted by firms around the world
On-Demand Configurability
Extensive workflows are highly configurable, powered by conditional logic.
Multi-Jurisdictional
Tailor time zone, currency, language, and more for global employees.
Intuitive UX
Drive employee adoption with ease and simplify employee access via standard authentication and/or single sign-on.
Actionable Intelligence
Quickly and easily get real-time analytics through customizable dashboards and reports.
Multi-Layered Protection
Safeguard sensitive data with multi-layered access rights based on division, department, role, location, and more.
Future-Ready Architecture
Gain a 360-degree view of your employee compliance anywhere with scalable, cloud-ready software and integrations with Snowflake, Thoughtspot, and PowerBI.
Featured Resource
The MNPI Compliance Handbook
A comprehensive guide to MNPI and control room design and development: optimization best practices, defining scope/mandate, software/tech, and more.
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