Personal Trading Compliance Software for Multiple Asset Classes

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

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 & Entertainment,  Political Donations

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

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. 

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. 

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.