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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. 


License & Registration

Don’t operate in the dark. Star’s L&R software sheds light on and gives needed visibility into the opaque license and registration process. Monitor your registered advisers’ progress from a single place and get them back to doing what they do best as soon as possible—advising clients and generating revenue. 

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None. Nada. Zip.

That’s the amount of revenue your registered reps may be generating for as long as six to eight weeks: the average time it takes to complete the license and registration process. Star’s L&R improves the transparency and efficiency of a multistep process prone to delays that can cost your firm money.  


Bring automation and efficiency to a critical firm process

Skip the guessing game. With License & Registration you’ll know exactly where your registered advisers are in the lengthy license and registration process. More transparency means firms can operate with more confidence—with no one sitting idle. 

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.

The license and registration process isn’t just long, it’s complex. L&R centralizes all your critical information in a single location for easy management. Run reports. Make revenue projections. And more. All wrapped in a UI focused on intuitive use and efficient workflows. 


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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.

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Four Key Findings From Star's 2022 Crypto & Compliance Survey

22 Sep, 2022

For our second annual Crypto & Compliance Survey, we surveyed the marketplace to find out how firms are currently approaching employee crypto-trading compliance and how they plan to approach it. Here’s an overview of the results and some guidance on next steps your firm should take. 

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3 Benefits Of Individual Risk Scores In Compliance Management

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Risk scores move organizations beyond rules-based compliance toward predictive compliance. Read how it all works with Ruairi Nash, StarCompliance's resident expert on individual accountability and training and competency

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Leadership. People policies. Governance. Purpose. In this week's StarBlog, Jo Geraghty, Partner at Culture Consultancy, explores how these four factors set the tone for a healthy business and how compliance can help firms achieve them

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