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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.

Helping you to actively manage employee trading in the context of market activity and events to guard against insider trading.

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

Gain complete traceability and confidence. Strengthen Individual Accountability and effectively demonstrate compliance to FCA and MAS by meeting requirements set forth by the SMCR (Senior Managers and Certification Regime) in the UK and the IAC guidelines (Individual Accountability and Conduct) in Singapore.  

001-book

A clear understanding of what's required for regulatory compliance

 
006-requirements

A systematic way of dealing with and keeping track of constant change

003-search

Comprehensive and Proactive Governance and Oversight

005-settings
Streamlined and Consistent Business Processes and Quality Checking
Senior Managers Regime

Senior Managers Regime

Give your most senior people assurance that their Accountability obligations are met.

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  

Certification Regime

Easily manage and support all aspects of the Certification process—while making 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 compliant with records and renewal tracking rules.  
  • Utilize dashboard reporting to provide a robust, transparent solution to the many challenges firms face under the Certification Regime. 
LEARN MORE  DOWNLOAD SMCR CHECKLIST
 
Individual Accountability- Certification Regime
Individual Accountability-Conduct Rules

Conduct Rules

Improve individual accountability and awareness of conduct issues across your firm.  

  • Record and manage breaches and regulatory reporting  
  • Record role-specific training  

 

FCA Directory

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 timely and consistently. 

  • Ready-to-use ‘Directory Data’ reports available  
  • Extract 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 supports movers, joiners, leavers and changes  
  • Oversight that new Directory Obligations are being met in full  
  • Oversight that all processes are working effectively, with robust record keeping  
LEARN MORE DOWNLOAD BUYER'S GUIDE
Individual Accountability-FCA Directory
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