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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.

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.

Automatically monitor employee state, local, and federal political contributions and reduce the risk associated with breaking pay-to-play laws. 

 


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

BOOK A DEMO

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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

BOOK A DEMO  

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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.

BOOK A DEMO

17

The SEC & DOJ Have Corporate Compliance Zeroed. Are You Ready?

17 Nov, 2022

It's no secret the federal government has been pursuing an aggressive regulatory enforcement agenda of late, but what does it mean for compliance officers trying to keep their firms operating within the law? Star's Head of Business Development and veteran compliance officer Steve Brown breaks it all down and offers practical steps to do just that

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09

Ireland’s Senior Executive Accountability Regime: What Compliance Officers Need To Know

09 Nov, 2022

The Republic of Ireland legislature made public updated details of the country’s forthcoming individual accountability regime. In this week’s StarBlog, Senior Editor John Grgurich offers an overview of what the regulation might look like in its final form, and how regtech like Star’s can help registered firms comply

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02

The SEC Cracks Down On Political Contributions Violations

02 Nov, 2022

On September 15, the SEC announced it had settled enforcement proceedings against four investment advisers for violating the “Pay-to-Play Rule.” Our political contributions specialist, Bill Donnell, breaks down what happened and explains what it means for firms that need to monitor for such conflicts

Read more