FINRA Gift Rules and Monitoring
Gift-giving and entertaining—commonly known as “wining and dining”—have long been integral to business practices, serving to build relationships and facilitate negotiations.
IAF in Ireland
Star’s dedicated IAR solution is designed to help Regulated Financial Service Providers (RFSPs) establish and maintain a framework that will answer Ireland’s newest regulation, and have the flexibility to adapt as changes occur.
Compliance No Longer Needs To Be Complex
Be certain you’re going to be able to comply with the Central Bank of Ireland’s (CBI) guidance on the Individual Accountability Framework (IAF) with a solution that’s designed to meet Ireland’s newest regulation and any future regulation.
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Why Choose StarCompliance?
Designed for compliance and HR departments alike, our solutions simplify everyday compliance processes while ensuring you meet the strictest regulatory and ethical standards, no matter your industry. The STAR Platform is highly configurable, providing a personalized experience to all end users that increases adoption and keeps your employee compliance program as airtight as possible.
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.
Establish and maintain a Senior Executives Accountability Regime
- Manage Maps & SORs across the organization.
- Complete versioning control of Maps and key documentation.
- Provide an easy way for Senior Executives to document Reasonable Steps.
- Fully auditable.
Fitness & Probity workflows for Senior Executives and Controlled Functions
- Identify Senior Executives and Controlled Functions and assign activities to personal development and supervision.
- Perform annual and ad-hoc fitness and probity assessments using both long and short forms with sign-off and automated escalation built-in.
- 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.
Manage Common Conduct Standards Attestation
- Implement annual declaration workflows and store declarations for good record-keeping.
- Record and manage breaches and regulatory reporting.
- Improve the accuracy and efficiency of regulatory reporting.
- Record role-specific training.
Employee Conflicts of Interest
Protect your employees and reduce risk with a suite of solutions designed to address a range of issues.
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
Keep compliance teams in-the-know without compromising employees’ trading experience.
Simplify the declaration of employee private investments with outside organizations.
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery and corruption regulations.
Avoid regulatory compliance breaches arising from employee external business activities.
Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide.
Actively manage employee trading in the context of current market activity and news events to protect your company’s reputation.
Incident & Policy Management
Streamline HR and compliance processes by providing employees with clear, accessible policies and a safe space to report incidents.
Provide employees with multiple methods for reporting concerns while streamlining incident collection, management, and resolution.
Create, maintain, and manage your policies in one central, easily accessible place.
Support widespread policy adoption and adherence with a robust portfolio of ethics and compliance learning content.
Encourage and collect candid feedback from departing employees to drive continuous improvement.
Support 65+ languages for ease of reporting, no matter where employees reside.
MNPI & Enterprise Conflicts
Centralize deal data and identify business and employee conflicts
Star’s Compliance Control Room lets you organize and manage your most important inside information data flows and conduct conflict searches with ease—all from a single platform.
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?
Accountability & Competency
Comply with global accountability regimes by fortifying employee accountability, training, and competency.
Strengthen your employees’ individual accountability and effectively demonstrate compliance to regulators, all with complete traceability.
Develop a culture of compliance, drive firm-wide adoption, and protect your firm’s reputation with a solution that builds trust and certainty.
License & Registration
Take advantage of centralized monitoring and easy integration with FINRA and other regulators.
Manage your License and Registration workflows with confidence
Trusted by firms around the world
Featured Resource
How Technology Future-Proofs IAC Compliance For MAS Regulated Firms
The right tech supports existing processes. Learn how competency management software does just that, and future-proofs your IAC Guideline compliance processes.
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