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The Ultimate Compliance Guide!

Build a Robust Compliance Program

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The Star Platform Difference

Our Future-Ready Compliance Platform Delivers

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On-Demand 
Configurability
Respond quickly to new regulations
002-location
Multi-Jurisdictional
Support your global employee base
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Intuitive UX
Drive employee adoption with ease
Star Compliance - Icons_Actionable Intelligence
Actionable Intelligence
Provide real-time analytics
Star Compliance - Icons_Multi-Layered Protection
Multi-Layered Protection
Secures employees' privacy & assets
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Future-Ready Architecture
Cloud ready & scalable

Comply with Confidence

Intuitive compliance tools built for tomorrow's regulatory challenges. 

 

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Personal Trading Management can be streamlined and automated using Star’s Personal Account Dealing (PAD) solution. PAD assesses trade requests against a fully configurable rule engine you define – giving employees either an immediate automatic decision of their pre-clearance request or escalating the request through a multi-level review process. Additional features include surveillance, case management, certifications and attestations, and reporting.

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Rule-Set

Track and log employee gift declarations using our Gift & Entertainment (G&E) solution. G&E tracks the spending and receiving of gifts and entertainment to uphold anti-bribery regulations. Employees fill out a pre-clearance form which is checked against the limits you define. Spend requests related to specific individuals or companies are aggregated to ensure limits aren’t exceeded and you can define a pre-selected list of companies and contacts for employees to choose from when making G&E spend or receipt requests. Additional features include surveillance, case management, and reporting. 

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Make it easy for employees to declare professional and associative activities using Star’s Outside Business Activity (OBA) solution. OBA leverages a configurable pre-clearance form you design. Document and monitor the most common and critical outside interests including investments, employment or advisory roles, directorships, board member roles, charitable donations, and more. Employees can also document family members or connected individuals working at other organizations. Additional features include certifications and attestations, and reporting. 

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Simplify the declaration of employee private investments with outside organizations. Our Private Investments product lets employees quickly and easily declare their non-publicly traded investments using fully configurable forms—ensuring you stay in the know from day one.

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Keep your compliance team in the know and reduce the chances of market abuse with our easy-to-use insider trading solution. Track which employees have material and non-public information using insider lists and compare employee trades against high-impact global events and market activity.

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Strengthen individual accountability of your employees and effectively demonstrate compliance to regulators, with complete traceability. Now with advanced compliance technology, you can be certain you’re meeting your obligations under accountability regimes globally, with support for SMCR in the UK, IAC in Singapore and IAF in Ireland, with further accountability regimes around the world to follow. After all, certainty is good business.

INDUSTRY EXPERTS

Making Compliance Simple and Easy

Our employee compliance technology solutions are scaleable and easy to use - for end users and administrators - helping you reduce risk and gain efficiencies and employee adoptions.

 

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Certifications and Attestations

  • Pre-schedule certification periods across the business and set up automated reminders to support on-time completion.
  • Collate employee activities and data at regular intervals into certs and attestations within STAR. 
  • Push information, such as the latest firm policies and regulations, so employees can certify they've read and understand them. 
  • Configure certification templates by user group, role, location, and more so employees only review and attest to what’s relevant to them.  
  • Give employees an easy way to flag inaccuracies or report anything that's been missed from within STAR as part of the certification workflow.
Certification Checklist

 

POWERED BY COMPLIANCE CONTROL ROOM

MNPI & Enterprise Conflicts

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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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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.

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How Software Solutions can help scale you L&R Program

License and Registration Management 

With increased transparency, you'll gain clear visibility into your team's progress, enabling reduced risk, accurate revenue projections, greater predictability, and shorter cycle times. The decreased workload brought by our L&R automation allows compliance teams to do more with less, connecting directly with regulators like FINRA and staying informed on CE due dates, exam-window expirations, and employee submission statuses.

Star's future-ready platform simplifies management by centralizing critical data in one location, streamlining report generation, automating repetitive tasks, and ensuring up-to-date licensing and continuing education across your organization.

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Star’s Future-ready compliance platform

Star’s SaaS platform is scalable and easy to use for both end users and administrators – built to drive employee adoption, reduce risk and gain operational efficiencies.  
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Integration with third-party HR systems 

Seamless integration with your HR system saves time populating and updating the STAR platform. Using data from your HR System records allows employee details to be easily added and removed while pushing data from your master records enables individual account information to be completed automatically. 

Configurable, Automated Code Of Ethics 

STAR is characterized by its configurability, making it the most personalized compliance service on the market. Your STAR application can be entirely configured to your requirements through extensive, easy-to-use options and management tools. 

Even the most common features of our STAR platform, such as transaction submissions, are powered by our advanced rules engine, meaning that automatic approval and denial features can be configured to your specific requirements. Forms, attestations, declarations, user accounts, visibilities, permissions, roles, personas – everything can be configured to meet your needs. 

 

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Just The Facts

 The StarCompliance Difference

hiring

Industry Experience
 20+ Years of Industry experience

profits

Investment
 $20M+ over the last 3 years into R&D

customer

Service & Support

Increased headcount by 131% in 2023 to support our growing client-base 

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Software Development  community-led by our robust user community of 350+ global clients 

teamwork

Expertise
75% of our team has 10+ years of experience in financial services and RegTech 

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Externally backed
Substantial backing and growth support from Marlin Equity Partners

Our Resources

Blog

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Get the Most Out of Your Compliance Management & Monitoring Tools

Understanding what compliance solutions best fit your company can help you take full advantage of its compliance management and monitoring features, and maximize the benefits.
 
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Why Now Is The Time To Invest In A RegTech Solution For SMCR Compliance

Designed to mitigate the uncertainties surrounding individual responsibilities within regulated financial firms in the UK—and ensure the right people are held accountable if and when things go wrong—the compliance requirements of the  Senior Managers and Certification Regime have placed significant demands on firms on many fronts.
 
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How Star Is Riding The Wave of Compliance Vendor Consolidation

The regulatory landscape changes quickly in financial services, and each new regulation brings new compliance tools to the market. Dozens upon dozens of third-party vendors for banks and other financial institutions offer up products with promises to keep your firm compliant. Choice is good, but you can quickly find yourself juggling more vendors than you can handle.
 
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Automate Personal Account Dealing Reconciliation: The Importance of Electronic Broker Feeds to the Modern Compliance Officer

A broker feed provides an automated way for employees’ personal account dealing transaction and position data to be sent electronically by brokers and populated directly in the STAR platform.
 
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SENIOR SALES EXECUTIVE
Robert Rowe
+1 617-895-9377

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Robert Rowe