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Personal Trading Compliance Software for Multiple Asset Classes

Automate and streamline employee trade pre-clearance and related conflict detection workflows. Highly configurable and user-friendly for both monitored employees and compliance teams, the STAR Platform reduces operational friction and firm risk.   

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YOUR FIRM, YOUR RULES
Configurable Rules Engine

The STAR Platform is powered by a robust rules engine and configured to your organization’s unique needs and policies. This leverages vast amounts of data like employee information, user group and line of business relationships, and marketplace data, to automate employee pre-clearance, surveillance, and other conflict checking workflows to streamline processes and increase efficiency.  Easily configurable, compliance teams can manage and update the rules engine directly from their admin portal.

You can also create rules with the following STAR products:
Gifts & Entertainment, Outside Activity,  Political Donations,  Private Investments

BOOK A DEMO  DOWNLOAD PDF 

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FAST, AUTOMATED DECISIONS
Pre-Clearance & Surveillance

  • Employees complete a simple trade request form and within seconds, receive an automated approval or denial decision by the rules engine. 
  • Escalation channels can be defined for trades that need further analysis and review, alerting the employee’s manager and/or compliance team members in real-time. 
  • Trade requests can be submitted in the employee’s local currency and the entire workflow is available in multiple languages.  
  • The trade request form is configurable and can collect additional information over and above the standard recommended fields.  
  • Pricing and reference data available on 35 million+ global securities, including cryptocurrencies, mutual funds, ETFs, UITs, close-end funds and leveraged loans. Learn More

You can also pre-clear with the following STAR products:
Gifts & Entertainment, Outside Activity,  Political Donations,  Private Investments

  DOWNLOAD PDF

FAST, AUTOMATED DECISIONS
Trade Reconciliation

  • Automate transaction-matching with our community of broker relationships via electronic feeds, refreshed every twenty-four hours and monitored by a dedicated team. 
  • Give employees one, easy place to upload broker statements and set up automated reminders to alert employees when statements are past-due.   
  • Eliminate manual statement-data entry with Star’s Secure Data Entry Service. 

You can also survey with the following STAR products:
Gifts & EntertainmentPolitical Donations

BOOK A DEMO DOWNLOAD PDF

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EASY REVIEWS AND INVESTIGATIONS
Case Management

  • View all possible personal trading breaches that may require investigation and resolution by the compliance team. 
  • Collate data and evidence, add annotations, and assign cases to relevant team members for resolution. 
  • Record the entire case lifecycle for audit purposes. Use management reports to identify trends and opportunities for additional employee training and education.

This feature is also available with the following STAR products:
Gifts & Entertainment
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Private Investments

DEMONSTRATE REGULATORY RIGOR
Certifications and Attestations

  • Pre-schedule certification periods across the business and set up automated reminders to support on-time completion.
  • Collate employee activities and data at regular intervals into certs and attestations within STAR. 
  • Push information, such as the latest firm policies and regulations, so employees can certify they've read and understand them. 
  • Configure certification templates by user group, role, location, and more so employees only review and attest to what’s relevant to them.  
  • Give employees an easy way to flag inaccuracies or report anything that's been missed from within STAR as part of the certification workflow.

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

BOOK A DEMO  CERTIFICATIONS CHECKLIST

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DATA-DRIVEN DECISION MAKING
Reporting & Analytics

  • The Personal Trading Dashboard presents critical data through intuitive visuals for quick consumption, analysis, and action.  
  • Access to 100+ standard report templates with the ability to design and build custom reports to meet your needs. 
  • Generate and schedule reports for automatic distribution across the compliance department and greater organization. 

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DATA ENRICHMENT
Global Security Master & GICS

  • Pricing and reference data available on more than 35 million global securities including cryptocurrencies, mutual funds, ETFs, UITs, close-end funds and leveraged loans. 
  • GICS, one of the most popular industry/sector coding schemes can be used to set comprehensive trade restrictions and reviews by industry. 
LEARN MORE
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Argus

Need Full Crypto Coverage?

Star’s partnership with Argus provides the most comprehensive and forward-thinking compliance solution in the market. Manage employee trading, monitor MNPI, and supervision regarding securities and crypto currency in one, end-to-end digital assets solution.

ON-THE-GO CAPABILITIES

The STAR MOBILE App

Make it easy and convenient for employees to pre-clear personal trades from their mobile device.

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TALK TO THE EXPERTS

Schedule a personalized demo with a Star professional to see what the STAR platform can do for you.

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