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STAR SOLUTIONS: Financial Services Compliance Software

Your financial services compliance software needs to be ready for more than today's challenges — it needs to be future-ready. Star's financial compliance software solutions help you monitor and manage the ever-evolving world of regulatory compliance.

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Compliance no longer needs to be complex

Comply with confidence with solutions built for the regulatory challenges of tomorrow. 
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Centralize deal data and identify business and employee conflicts

Compliance Control Room lets you centralize, organize, and manage your most important inside information data flows and conduct business and employee conflict searches with ease — all from a single platform.

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Strengthen individual accountability of your employees and effectively demonstrate compliance to regulators, with complete traceability using our financial services software suite.

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Training & Competency

Develop a culture of compliance, drive firm-wide adoption, and protect your firm's reputation with a training and competency solution that builds trust and certainty.

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Manage your License and Registration workflows with confidence

With centralized monitoring and easy integration with FINRA and other regulators, you can manage your License and Registration workflows with confidence.

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Trusted By

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It’s Time to Take Control

Our financial compliance control room software offers:
  • Centralized Deal & List Management
  • Sophisticated Conflicts Checking
  • Firm-Wide Reporting
  • Easy Systems Integrations
  • Detailed Audit Logs

 

Individual Accountability Regime

Strengthen individual accountability of your employees and effectively demonstrate compliance to regulators with complete traceability.
 
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Clarity of requirements and what you need to do

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The confidence you need to know you're always up to date

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Comprehensive and proactive governance and oversight
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Consistent, streamlined business processes and quality checking
Our Facts & Figures

StarCompliance is a global leader in employee compliance software solutions, protecting clients and their employees for over 20 years.

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Improve Transparency & Efficiency Across Your Business

License & Registration

Our License & Registration brochure offers an even closer look at how this innovative financial compliance software solution gives compliance teams needed visibility into the license and registration process.

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TALK TO THE EXPERTS

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

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19

Consumer Duty: Why Individual Accountability and Training & Competency Solutions Matter

19 Apr, 2023

In the UK, the Financial Conduct Authority (FCA) is looking to bring higher and clearer standards of consumer protection in retail financial services through its Consumer Duty Act, which will see Consumer Duty applied to up to 51,000 financial firms regulated by the FCA*. The regulator is taking a phased approach to implementation, with the first phase – for existing products or services (open to sale or renewal to retail clients) – coming into force on 31 July 2023, and the second, for closed products, on 31 July 2024.

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12

Financial Instability and The Shroud of Uncertainty Over Employee Compliance

12 Apr, 2023

The recent failures of two US banks along with the rescue of a large Swiss bank and ongoing volatility in the financial sector is a reminder that firms need reliable regulatory compliance tools to monitor firm and employee activities. As we have seen, a number of financial institutions are fighting for their survival and in these institutions, employees are struggling with the emotions of not knowing what is going to happen or whether they will have a job. These circumstances may lead to potential misconduct and misbehavior. Regulators will expect firms to manage regulatory and operational risks. The image below details some of the aspects that firms should consider:

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06

What Drives Regulatory Change? And How Can Corporate Markets Prepare?

06 Apr, 2023

As legislation expands and resources contract, corporate compliance officers find themselves under growing pressure to achieve more with less. But what drives regulatory change? What’s at the top of the regulatory agenda? And how can compliance teams stay ahead of the game?

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