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Our experts partner with compliance teams around the world to provide customizable, user-friendly software solutions designed to simplify every-day compliance processes while ensuring you meet the strictest regulatory standards.

Our system offers a host of benefits and reassurances for compliance leaders, compliance teams and technology specialists.

Automated conflict of interest detection and mitigation helps your compliance teams work better, faster and more effectively. The rigor of our reporting, surveillance, certification and security systems provides complete peace of mind for Chief Compliance Officers and board members.

Helping you to detect and prevent market abuses that could jeopardize your reputation and regulatory compliance. Actively manage insider lists and investigate employee trading in the context of current market activity and events.

Clear deals faster. Centralize deal data. Reduce your risk. Compliance Control Room lets you organize, manage, and monitor your firm's most important information flows from a single platform.

Whether for work or pleasure, it’s a mobile world. And a mobile workforce calls for mobile solutions. Introducing STAR Mobile. With STAR Mobile, employees pre-clear activity and report transactions on-the-go. Supervisors review escalated requests anywhere there’s a cell connection.

Create unlimited projects to easily manage and monitor dynamic lists of employees who have access to insider information.

Compliance Control Room's enterprise-level single platform centralizes all your firm's deal-related activity—letting you manage control room activities more efficiently and effectively.

Increase employee participation. Increase data accuracy. Increase responsiveness. STAR Mobile is a native app that makes compliance simple, easy, and convenient.

Automatically monitor employee state, local, and federal political contributions and reduce the risk associated with breaking pay-to-play laws. 

 

Individual Accountability Regime

When it comes to individual accountability compliance, certainty is good business

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 the FCA’s Senior Managers and Certification Regime (SMCR) in the UK and the Monetary Authority of Singapore’s (MAS) Individual Accountability and Conduct (IAC) Guidelines, with more individual accountability regimes around the world to follow. After all, certainty is good business.

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Clarity of requirements and what you need to do

 
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Confidence 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

Senior Managers Regime

Comply Confidently with the Senior Managers Regime

Give your most senior people the certainty that they have met their accountability obligations with compliance software made for the job.

Produce and manage Responsibilities Maps and Statements of Responsibilities (SoRs)  
Automatically validate compliance  
Manage committees  
Record your reasonable steps and handover processes  
Full version control 
Apply audit-ready approval processes  

Streamline the Certification Regime Process

Gain control of all aspects of the certification process – with compliance technology that makes it easy for your employees.

  • Manage the entire Certification process – from identifying Certified individuals and assigning activities to personal development and supervision.  
  • Perform online competency testing.  
  • Automatically produce and store Certificates that comply with records and renewal tracking rules.  
  • Use robust, transparent dashboard reporting to gain insights into individual and firm-wide results .
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Promote Good Employee Conduct Rules

Raise awareness of employee conduct issues across your firm and expand individual accountability.  Fostering a culture of strong values and ethical behavior is what builds respected, reputable businesses.

  • Record and manage breaches and regulatory reporting  
  • Improve the accuracy and efficiency of regulatory reporting
  • Record role-specific training  

 

Effectively Manage FCA Directory Persons Data

Make it easy to support the regular submission and maintenance of up-to-date data for FCA Directory Persons, providing a place to gather and store data, as well as ensuring changes and updates are applied on time and consistently. 

  • Extraction of Directory data into exact format of FCA Multi-Submission and Bulk-Amend templates  
  • Maintenance of Directory Persons and their data updates  
  • New Directory screens to store relevant data  
  • Ability to review, amend and confirm Directory data is accurate  
  • System workflow support for movers, joiners, leavers and changes  
  • Assurance that new Directory obligations are being met in full  
  • Oversight of all processes to ensure effectiveness, with robust record-keeping 
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Buying Regulatory Compliance Technology with Certainty:

An SMCR Buyer’s Guide for Compliance Managers

There’s no doubt that compliance technology can support SMCR compliance. But with so many regtech options available, what specifically should you be looking for in an SMCR solution?

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