EMPLOYEE CONFLICTS OF INTEREST

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.

Gifts & Entertainment, Outside Activity, Political Donations, Private Investments

Employee Conflicts of Interest Solutions

Ensure employee personal trading and investments comply with all regulatory requirements and company policies.

Keep compliance teams in-the-know without compromising employees’ trading experience.

Simplify the declaration of employee private investments with outside organizations.

Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery and corruption regulations.

Avoid regulatory compliance breaches arising from employee external business activities.

Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide.

Actively manage employee trading in the context of current market activity and news events to protect your company’s reputation.

How It Works

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

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.

Gifts & Entertainment, Political Donations

EASY REVIEWS AND INVESTIGATIONS

Case Management

  • View all possible conflicts of interest with private investments that may require investigation.
  • Collate data and evidence, add annotations and assign cases to relevant team members for speedy case resolution.
  • Record the entire case cycle for audit purposes.

Gifts & Entertainment, 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.

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.

Why Choose StarCompliance?

Our future-ready compliance solutions deliver powerful results.

Extensive workflows are highly configurable, powered by conditional logic.

Tailor time zone, currency, language, and more for global employees.

Drive employee adoption with ease and simplify employee access via standard authentication and/or single sign-on.

Quickly and easily get real-time analytics through customizable dashboards and reports.

Safeguard sensitive data with multi-layered access rights based on division, department, role, location, and more.

Gain a 360-degree view of your employee compliance anywhere with scalable, cloud-ready software and integrations with Snowflake, Thoughtspot, and PowerBI.

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