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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. 

 

 

Manage your License and Registration workflows with confidence

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Star's License and Registration solution improves transparency
and provides a direct connection to FINRA so you can easily monitor the multistep
license and registration process from a centralized location.

The Star Difference

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

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Our SaaS platform brings automation and efficiency to a new level of performance.

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.

 

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Improve Transparency & Efficiency Across Your Business

Want to learn more?

Our License & Registration brochure offers an even closer look at how this innovative software solution gives compliance teams needed visibility into the license and registration process.

Download brochure
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26

The Top 10 StarBlogs From 2022

26 Jan, 2023

2022 was an exciting year for compliance and compliance software. Before we get settled into 2023, we’re taking a look back at 10 of the best blogs from our team at StarCompliance.

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18

Financial Regulatory Compliance: What to Know For 2023 – Part 2

18 Jan, 2023

In our second blog examining the compliance outlook for financial services firms in 2023, Gary Muchmore, Managing Director at StarCompliance, discusses upcoming legislation for individual accountability regimes, the still-evolving post-Brexit compliance landscape, and recent developments in the digital assets space.

Read more
12

Financial Regulatory Compliance: What to Know For 2023 – Part 1

12 Jan, 2023

As we head into 2023, Steve Brown, Managing Director at StarCompliance, assesses the state of financial services compliance and provides an overview of the key regulatory developments that regulated firms need to be aware of and prepare to comply with in the year ahead. In the first of his two-part blog series, Steve takes a look at insider trading and what the amendments to SEC Rule 10b5-1 mean for publicly traded companies (i.e. corporate issuers of securities).  

Read more

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