EMPLOYEE COmpliance

Private Investments Compliance Solutions

Simplify the declaration of private investments. StarCompliance Enterprise lets employees quickly and easily declare their non-publicly traded investments, 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.

Related Solutions

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Personal Account Dealing

Ensure employee trading and investments meet all regulatory and internal policy requirements.

Crypto Dealing

Gain comprehensive pre-clearance and post-trade oversight across 100+ crypto exchanges and 25+ blockchains.

Private Investments

Simplify declarations for employees holding non-publicly traded investments.

Gifts & Hospitality

Track and report gifts and hospitality—given or received—to stay compliant with anti-bribery regulations.

Outside Business Activities

Easily capture and manage employee disclosures for external business engagements.

Political Donations & Activities

Enforce pay-to-play thresholds and minimize employee-related risk with purpose-built tracking and controls.

Insider Trading Detection

Monitor employee trading against market activity and public news to detect potential insider risks.

How It Works

YOUR FIRM, YOUR RULES

Robust 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 Account Dealing, Gifts & Hospitality, Political Donations & Activities

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:
Personal Account Dealing, Gifts & Hospitality, Political Donations & Activities

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.

PROVE YOUR REGULATORY RIGOR

Certification Management

  • 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.

Certifications Checklist

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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Trusted by firms around the world

Why Choose StarCompliance?

Our compliance solutions deliver powerful results.

Why Star?
On-Demand Configurability

Extensive workflows are highly configurable, powered by conditional logic.

Multi-Jurisdictional

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

Intuitive UX

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

Actionable Intelligence

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

Multi-Layered Protection

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

Future-Ready Architecture

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

Featured Resource

Certifications Process Checklist

Download StarCompliance’s Certification Checklist, providing 5 steps to a simpler, easier, more efficient certifications process.
Get the Checklist

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