Personal Trading Financial Compliance Software

FAST, AUTOMATED DECISIONS
Pre-Clearance

Employees quickly and easily fill out pre-clearance request forms and receive automated approval or denial decisions within seconds.
Automate the post-trade reconciliation process by receiving electronic notifications from brokers confirming employee trades.
Implement escalation channels for trades that need further analysis and review by the employee’s manager and/or compliance team members.

You can also pre-clear with the following STAR products:

Gifts & Entertainment, Outside Activity , Political Donations, Private Investments

YOUR FIRM, YOUR RULES
Trading Rules Engine

Highly configurable, the rules engine uses your firm’s code and policies to inform and automate the pre-clearance process.
Easily create blackout-lists or restricted lists that apply to all employees or specific individuals to inform the rules engine of trading limitations.
No more waiting on others to make changes. Manage and update the rules engine directly from your admin portal.

You can also create rules with the following STAR products:

Gifts & Entertainment, Outside Activity , Political Donations, Private Investments

SINGLE PLATFORM, CENTRALIZED DATA
Surveillance

Leverage decision-making data from systems across your business—like HR, executed trade records, and order-management—with easy integrations into STAR.
Define rules for automated cross-referencing of existing data when any pre-clearance trade request is made—reducing the potential for conflicts to slip between the cracks.
Survey employee records automatically—quickly surfacing transaction anomalies or patterns of behavior that may require further investigation.

You can also survey with the following STAR products:
Gifts & Entertainment , Political Donations, Private Investments

PROVE YOUR REGULATORY RIGOR
Certifications and Attestations

Collate employee data at regular intervals into certs and attestations. Employees can flag inaccuracies or report anything that's been missed.
Push out information, such as the latest firm policies and regulations, so employees can confirm they've read and understand them.
Provide further proof your business is doing everything in its power to detect and prevent conflicts of interest.

This feature is also available with the following STAR products:
Outside Activity, Private Investments

7 Signs You Need To Fully Automate Your Compliance Process

03 Aug, 2020

A recent study shows that more than 50% of firms with a centralized compliance system in place continued to have effective monitoring processes throughout the COVID-19 crisis, making the case that full automation in the compliance space is more important than ever

MIGRATION & IMPLEMENTATION

10 Steps To A Seamless Compliance Software Implementation

27 Jul, 2020

Firms globally are moving ahead with big projects like compliance software implementations, pandemic or no. Here's a step-by-step guide on how to ensure it all goes down smoothly

ETHICS & CULTURE

A Culture Of Compliance: How Software Can Help You Create One

20 Jul, 2020

What exactly is culture? How can you shape it? How do you go about changing the culture of an organization? For all this and more, keep reading