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Private Investments Compliance Solutions

Simplify the declaration of employee private investments with outside organizations. Our Private Investments product lets employees quickly and easily declare their non-publicly traded investments using fully configurable forms—ensuring you stay in the know from day one.

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FAST AUTOMATED DECISIONS
Pre-Clearance

  • Employees fill out pre-clearance request forms and get automated approvals in seconds.
  • Or, have all private investments routed through pre-set review channels you define in advance.
  • Investment levels can be easily updated later if changes occur within any and all private investments.

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

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YOUR FIRM, YOUR RULES
Private Investments Rule Engine

  • Highly configurable, the rules engine uses your firm’s rules and policies to inform and automate the private investments request process.
  • Create triggers to add multiple tiers of review. Dynamic controls ensure that reviews are carried out quickly and efficiently.
  • 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:
Personal Trading, Gifts & Entertainment, Political Donations

 

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.
  • Survey employee records automatically—quickly surfacing transaction anomalies or patterns of behavior that may require further investigation when evaluated against declared private investments.

You can also survey with the following STAR products:
Gifts & Entertainment, Personal Trading, Political Donations

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Case-Management

EASE 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.

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

 

 

PROVE YOUR REGULATORY RIGOR
Certifications and Attestations

  • Collate employee data at regular intervals into certifications 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, Personal Trading

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.

LEARN MORE

 

 

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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