MNPI & Enterprise Conflicts

MNPI Management

MNPI Compliance No Longer Needs To Be Complex

The ‘swivel chair’ approach to managing MNPI is inefficient and makes it difficult to gain a clear, transparent understanding of the information your employees hold.​

​Prevent and detect the misuse of MNPI by building a single source of truth for MNPI-related activities and ensure the right information makes it into the hands of compliance.

MNPI & Enterprise Conflicts Solutions

Centralize MNPI oversight with tools for wall crossings, insider lists, restricted lists, and more.

Manage conflicts, monitor deal teams, and streamline wall crossing workflows with StarCompliance Enterprise.

How It Works

Report and manage MNPI

  • Make it easy for employees to report MNPI from the employee portal​
  • Attach MNPI details to specific projects​

Surveil against MNPI

  • Gain transparency into activities that check against the watch/restricted lists: employee, firm & customer trading, research, and conflict

Manage wall crossing and market sounding approvals

  • Track, record and monitor wall crossing & market sounding requests and approvals
  • Make it easy for employees to seek and obtain approvals from the employee portal

Centralized list management

  • Maintain and update your global watch and/or restricted lists in one system​
  • Restrict companies and securities at the project level​
  • Maintain a list of employees and third-party contacts who hold MNPI and would be considered “insiders​”​

Integration Capabilities

Call upon critical data from existing firm systems by integrating your deal management, order management, human resources, and research tools to gain an even wider view of firm activity.

The enterprise software shown in this graphic are not an exhaustive list of Star’s integration capabilities.

Why Choose StarCompliance?

Our future-ready compliance solutions deliver powerful results.

Extensive workflows are highly configurable, powered by conditional logic.

Tailor time zone, currency, language, and more for global employees.

Drive employee adoption with ease and simplify employee access via standard authentication and/or single sign-on.

Quickly and easily get real-time analytics through customizable dashboards and reports.

Safeguard sensitive data with multi-layered access rights based on division, department, role, location, and more.

Gain a 360-degree view of your employee compliance anywhere with scalable, cloud-ready software and integrations with Snowflake, Thoughtspot, and PowerBI.

Related Posts

  • In The Room Where It Happened…

    Industry Leaders Exchange Insights About the Future of Compliance  There are moments when you find yourself listening in on a conversation so full of…

  •  From The Front Lines of Compliance  

    Your Ultimate Guide to Smarter, Stronger Compliance Programs  At Star, we have the privilege of working alongside some of the sharpest minds in compliance.

  • Complying With FCA’s Supervision Priorities 

    The Financial Conduct Authority (FCA) has recently communicated with firms in the Asset Management and Alternatives sector to build on the supervisory direction set…