Centralized monitoring to track requests and approvals fast
Easy integration and auto-population with FINRA and other regulators
Visibility into the multistep license and registration process
Enterprise reporting capabilities with improved progress and time tracking
INCREASED TRANSPARENCY
Clear visibility into your team's progress, and expansive reporting means reduced risk, accurate revenue projections, greater predictability, and shorter cycle times.
DECREASED WORKLOAD
Compliance is increasingly asked to do more with less, and with the automation L&R offers it can. Connect directly with regulators. Keep up-to-date on CE due dates and exam-window expirations. Stay in-the-know on employee-submissions status, and more.
EASIER MANAGEMENT
The license and registration process no longer needs to be complex. Star's future-ready platform centralizes all your critical data in a single location for easy management. Run reports, automate repetitive tasks, and ensure licensing and continuing education are up-to-date across your organization.
In this eBook, we explore the challenges firms face around the globe and how the License & Registration process can be streamlined in three steps:
01 Jun, 2023
The news agenda never stands still, and the regulatory landscape constantly shifts in its wake – the introduction of new and updated regulations is frequently event-driven, with legislation enacted in response to bad news, such as economic crises, geopolitical disruption, and large-scale financial crime.
18 May, 2023
The FCA relies on accurate and timely information from financial firms in order to identify malpractice and monitor their regulatory compliance. Failure to comply can result in severe consequences, not least of all significant fines. Use the recommendations in this guide to prepare your FCA reports and stay compliant.
10 May, 2023
When MiFID II was introduced in 2018, it dramatically altered the way sell-side research was issued to the buy-side, especially in the US. Specifically, European sell-side firms were required to unbundle trading and research, forcing almost all asset managers to pay for research in cash only. This is in direct contrast to the US, where it has been standard practice for buy-side firms to pay for research via order flow or commissions and doesn’t permit broker-dealers to receive cash remuneration.