Personal Trading Financial Compliance Software

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:

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:

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.

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

Personal Trading