SEC Charges Investment Bank and Former ECM Syndicate Banker with “Bought Deal” Fraud
In 2024, the SEC charges Investment Bank for violations preventing the misuse of material, nonpublic information. Find out what happened and how you can prevent it.
MNPI & Enterprise Conflicts
MNPI Management
Make faster, smarter decisions and reduce firm risk with our full-service solution used by enterprise financial firms to capture and monitor the flow of Material Non-Public Information (MNPI) and identify and properly manage enterprise conflicts.
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
Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
Around the globe, investment banks are using the STAR Platform to spot enterprise conflicts, manage wall crossings, monitor deal teams, and more. Interested in streamlining workflows and improving transparency?
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
- 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
Whether deal-based or permanent insiders, Star’s MNPI Management tool 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
Compliance Control Room 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.
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SEC Charges Investment Adviser for Policies and Procedures Failures
Late last year, (December 26, 2023), the Securities and Exchange Commission (“SEC”) settled charges against OEP Capital Advisors, L.
