Understanding Personal Account Dealing Policy and Compliance
What the FCA has to say about personal account dealing, and how StarCompliance can help.
EMPLOYEE COMPLIANCE
Modernize Firm Trade Surveillance
Say goodbye to manual reviews. Star’s Firm Trade Surveillance automates the process—saving time, reducing risk, and empowering compliance teams to act faster with greater confidence.
AUTOMATED DETECTION
Smarter Surveillance at Scale
Manual processes can’t keep up with today’s regulatory demands. Star uses automation to flag firm trades that conflict with your watch and restricted lists so your team spends less time searching and more time resolving issues that matter.
- Automated detection at parent and ultimate parent levels
- Automated case creation and alerts help catch issues before they escalate
- Fewer errors, faster outcomes, and no more manual bottlenecks
Associated Products
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?
CENTRALIZED EMPLOYEE & FIRM DATA
One System, Total Visibility
Unify firm and employee trade monitoring within a single platform. Eliminate data silos, centralize case management, and build a comprehensive audit trail—all without switching systems.
- Monitor firm and personal trading activity from one, centralized system
- Investigate trades and document outcomes with in-app case management
- Instantly view all restriction data in one place for complete oversight
Here’s how it works
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.
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.
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