A Wake-Up Call From The FCA
Is Your Insider-Trading Program Ready? The UK’s Financial Conduct Authority (FCA) has recently charged two individuals with insider dealing after identifying suspicious trading linked to confidential takeover information.
FIRM COMPLIANCE
MNPI Management Software
Capture and monitor the flow of Material Non-Public Information across employees and key stakeholders.
Retire the Swivel Chair
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.
Related 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.
Complete marketing and advertising reviews faster with AI assistance.
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
Watch/Restricted List Management
- Maintain and update your global watch and/or restricted lists in one system
- Restrict companies and securities at the project level
Insider List Management
- 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.
Both regulators require that said lists must include:
- The identity of any person having access to inside information
- The reason for including that person on the insider list
- The date and time that person gained access to inside information
- The date on which the insider list was drawn up
Whether deal-based or permanent insiders, StarCompliance Enterprise makes it easy for firms to collate, maintain, and update Insider Lists with ease and efficiency in one central location—all in the name of protecting market integrity.
Trusted by firms around the world
On-Demand Configurability
Extensive workflows are highly configurable, powered by conditional logic.
Multi-Jurisdictional
Tailor time zone, currency, language, and more for global employees.
Intuitive UX
Drive employee adoption with ease and simplify employee access via standard authentication and/or single sign-on.
Actionable Intelligence
Quickly and easily get real-time analytics through customizable dashboards and reports.
Multi-Layered Protection
Safeguard sensitive data with multi-layered access rights based on division, department, role, location, and more.
Future-Ready Architecture
Gain a 360-degree view of your employee compliance anywhere with scalable, cloud-ready software and integrations with Snowflake, Thoughtspot, and PowerBI.
Featured Resource
Enterprise Conflicts Handbook
This comprehensive guide to control room takes you step-by-step through design and development, including optimization best practices, defining scope, identifying technology, and more.
Related Posts
-
-
Deal Momentum Is Back… So Is the Need for Strong MNPI and Watch List Controls
After months of muted activity, global M&A and leveraged finance markets are finally gaining momentum.
-
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…
