Personal Trading Compliance Software for Securities, Stocks, and Bonds

FAST, AUTOMATED DECISIONS
Pre-Clearance

• Employees quickly and easily fill out pre-trade 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.

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-trade clearance 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

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

A 360-DEGREE VIEW OF ACTIVITY
Reporting & Analytics

• 100+ reports pre-loaded into the STAR employee personal trading compliance software.
• Useful visualizations make data easy to interpret.
• Generate and distribute reports automatically.
• Design and build your own, custom reports.
  
  

Data Management & Enhancements

• Automate transaction-matching with our community of broker relationships and feeds.
• Eliminate manual statement-data entry with Star’s Secure Data Entry Service.
• Enhance your own data with a security master of more than 12 million global securities.