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Our experts partner with compliance teams around the world to provide customizable, user-friendly software solutions designed to simplify every-day compliance processes while ensuring you meet the strictest regulatory standards.

Our system offers a host of benefits and reassurances for compliance leaders, compliance teams and technology specialists.

Automated conflict of interest detection and mitigation helps your compliance teams work better, faster and more effectively. The rigor of our reporting, surveillance, certification and security systems provides complete peace of mind for Chief Compliance Officers and board members.

Helping you to detect and prevent market abuses that could jeopardize your reputation and regulatory compliance. Actively manage insider lists and investigate employee trading in the context of current market activity and events.

Clear deals faster. Centralize deal data. Reduce your risk. Compliance Control Room lets you organize, manage, and monitor your firm's most important information flows from a single platform.

Whether for work or pleasure, it’s a mobile world. And a mobile workforce calls for mobile solutions. Introducing STAR Mobile. With STAR Mobile, employees pre-clear activity and report transactions on-the-go. Supervisors review escalated requests anywhere there’s a cell connection.

Helping you to actively manage employee trading in the context of market activity and events to guard against insider trading.

Create unlimited projects to easily manage and monitor dynamic lists of employees who have access to insider information.

Compliance Control Room's enterprise-level single platform centralizes all your firm's deal-related activity—letting you manage control room activities more efficiently and effectively.

Increase employee participation. Increase data accuracy. Increase responsiveness. STAR Mobile is a native app that makes compliance simple, easy, and convenient.

Personal Trading

StarCompliance makes detecting personal trading conflicts simpler and easier than ever. Our Personal Trading product assesses trade requests against a fully configurable rules engine that you define—giving employees either an immediate automatic decision or allowing a multi-level review.

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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

BOOK A DEMO  DOWNLOAD PDF 

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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 & EntertainmentPolitical Donations,  Private Investments

BOOK A DEMO DOWNLOAD PDF

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EASY REVIEWS AND INVESTIGATIONS
Case Management

  • View all possible 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 cycle for audit purposes. Use management reports to identify trends and support continuous improvement.

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

BOOK A DEMO  CERTIFICATIONS CHECKLIST

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A 360-DEGREE VIEW OF ACTIVITY
Reporting & Analytics

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

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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.
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ON-THE-GO CAPABILITIES

The STAR MOBILE App

  • Makes compliance simple, easy, and convenient.
  • Employees pre-clear trades. Managers review escalations.
  • Enjoy the same data granularity and security as STAR desktop.
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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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Embrace change. Don't lose the forest for the trees. One size rarely fits all. Here are the highlights and top takeaways from our webinar on the dos, don’ts, and best practices of compliance training for your employee base

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