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The Ultimate Compliance Guide!

Build a Robust Compliance Program

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INDUSTRY EXPERTS

Making Compliance Simple and Easy

Our employee compliance technology solutions are scaleable and easy to use - for end users and administrators - helping you reduce risk and gain efficiencies and employee adoptions.

 

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Personal Transaction Management 

Personal Transaction Management can be streamlined and automated using Star’s Personal Account Dealing (PAD) solution. PAD assesses trade requests against a fully configurable rule engine you define – giving employees either an immediate automatic decision of their pre-clearance request or escalating the request through a multi-level review process. Additional features include surveillance, case management, certifications and attestations, and reporting.

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Automate Transaction Reconciliation with Electronic Broker Feeds 

In addition, managing employee trading data is made simple and efficient by the broker-feed reconciliation and automatic transaction-matching capabilities of the STAR Platform. Star's dedicated broker feed team proactively monitors and maintains all electronic feeds to minimize potential data disruptions for clients. We provide 100+ direct broker feeds and maintain relationships with numerous clearinghouses that make hundreds of additional feeds available to our client-base.  

Security Master Data 

By partnering with a leading global provider of financial markets data, analytics, and related services, clients have access to time-sensitive pricing, evaluation, and reference data for more than 12 million securities traded around the world, including hard-to-value instruments. This enables StarCompliance to offer a shared resource that you can use to access the latest data on equities, UITs, mutual funds, debt instruments, and more. 

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Gift Declaration Management with Star

Track and log employee gift declarations using our Gift & Entertainment (G&E) solution. G&E tracks the spending and receiving of gifts and entertainment to uphold anti-bribery regulations. Employees fill out a pre-clearance form which is checked against the limits you define. Spend requests related to specific individuals or companies are aggregated to ensure limits aren’t exceeded and you can define a pre-selected list of companies and contacts for employees to choose from when making G&E spend or receipt requests. Additional features include surveillance, case management, and reporting.  

Employee Declarations 

Automatically collate employee activity at regular intervals into an attestation or declaration for employees to check and approve using Star’s Certification workflows. Employees can flag any inaccuracies in their records or report anything that has been missed. Use this same feature to disseminate important information, such as the latest firm policies and regulations, so employees can confirm they’ve read and understand them. All submissions are securely stored for audit purposes and can be easily recalled when needed. Certifications can be configured based on employee role, location, and more so employees only interact with the questions and declarations relevant to them.  

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Declaration of Professional & Associative Activities 

Make it easy for employees to declare professional and associative activities using Star’s Outside Business Activity (OBA) solution. OBA leverages a configurable pre-clearance form you design. Document and monitor the most common and critical outside interests including investments, employment or advisory roles, directorships, board member roles, charitable donations, and more. Employees can also document family members or connected individuals working at other organizations. Additional features include certifications and attestations, and reporting. 

Tablet & Mobile Accessibility 

The STAR Mobile app offers users an optimized, on-the-go STAR platform experience, with the critical capabilities they’ve come to rely on from Star’s Gifts and Entertainment and Personal Trading solution. With STAR Mobile, employees can pre-clear trades and report gifts and entertainment activity on-the-go. Supervisors and managers can use STAR Mobile for all the administrative and oversight functions vital to their jobs, including the review and approval of requests. STAR Mobile is available for download from the Apple and Android app stores.  

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How Software Solutions can help scale you L&R Program

License and Registration Management 

With increased transparency, you'll gain clear visibility into your team's progress, enabling reduced risk, accurate revenue projections, greater predictability, and shorter cycle times. The decreased workload brought by our L&R automation allows compliance teams to do more with less, connecting directly with regulators like FINRA and staying informed on CE due dates, exam-window expirations, and employee submission statuses.

Star's future-ready platform simplifies management by centralizing critical data in one location, streamlining report generation, automating repetitive tasks, and ensuring up-to-date licensing and continuing education across your organization.

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Star’s Future-ready compliance platform

Star’s SaaS platform is scalable and easy to use for both end users and administrators – built to drive employee adoption, reduce risk and gain operational efficiencies.  
 

Our Future-Ready Compliance Platform Delivers

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On-Demand Configuribility 
respond quickly to new regulations 

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Multi-Jurisdictional
 Support your global employee base

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Intuitive UX 
Drive employee adoption with ease

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Actionable Intelligence
Provide real-time analytics

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Multi-layered protection 
secures employee’s privacy & assets

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Future-Ready Architecture
Cloud-ready & scalable

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Integration with Workday 

Seamless integration with your Workday HR system saves time populating and updating the STAR platform. Using data from Workday records allows employee details to be easily added and removed, while pushing data from your master records enables individual account information to be completed automatically. 

Configurable, Automated Code Of Ethics 

STAR is characterized by its configurability, making it the most personalized compliance service on the market. Your STAR application can be entirely configured to your requirements through extensive, easy-to-use options and management tools. 

Even the most common features of our STAR platform, such as transaction submissions, are powered by our advanced rules engine, meaning that automatic approval and denial features can be configured to your specific requirements. Forms, attestations, declarations, user accounts, visibilities, permissions, roles, personas – everything can be configured to meet your needs. 

 

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Data Visibility & Permissions 

Define permission groups using your firm’s hierarchy, employee job roles, locations, and more to manage data visibility across your organization. Give line managers the ability to view their direct reports activities without allowing them access to employee data outside of their teams. Establish data visibility rules across compliance team members so only specific individuals have access to confidential information. Fully configurable, you decide where data visibility starts and stops. 

Just The Facts

 The StarCompliance Difference

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Industry Experience
 20+ Years of Industry experience

profits

Investment
 $20M+ over the last 3 years into R&D

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Service & Support

Increased headcount by 131% in 2023 to support our growing client-base 

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Software Development  community-led by our robust user community of 350+ global clients 

teamwork

Expertise
75% of our team has 10+ years of experience in financial services and RegTech 

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Externally backed
Substantial backing and growth support from Marlin Equity Partners

Our Resources

Blog

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Robert Rowe
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