Centralized monitoring to track requests and approvals fast
Easy integration with FINRA for improved transparency
Visibility into the multistep license and registration process
Enterprise reporting capabilities with improved progress and time tracking
INCREASED TRANSPARENCY
Clear visibility into employee task 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 FINRA. Keep up-to-date on CE due dates and exam-window expirations. Stay in-the-know on employee U4 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:
Star’s License & Registration (L&R) solution combined with SIA’s comprehensive exam training platform gives managers and training directors the ability to effortlessly monitor and take action on test dates, view exam-window expirations, and deliver exam training all from one central dashboard.
02 May, 2024
On January 12, 2024, the Securities and Exchange Commission (“SEC”) charged Morgan Stanley (the “Investment Bank”) and the former head of its equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information about bought deals (also known as and referred to as “block trades” and described below).