<img height="1" width="1" style="display:none;" alt="" src="https://dc.ads.linkedin.com/collect/?pid=378468&amp;fmt=gif">


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.

BOOK A DEMO

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

Outside_business_activity_Easy Declarations
surveillance3

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  

surveillance-02
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

 

 
certifications_And_attestations
reporting-left
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

28

How Can Compliance Teams Manage Their Representatives’ License and Registration Process More Effectively?

28 Mar, 2023

The process of registering for and obtaining a financial securities license can be a complex and time-consuming nightmare. In the US, individuals selling investments professionally are required to obtain a securities license from FINRA. This is a multi-step process where securities professionals must pass qualifying exams, in which there are different levels, to demonstrate their competence before they are allowed to engage in certain securities activities. If firms fail to stay ahead, not only is it costly for them to pay for the reopening of exam windows or late filings, but also the loss of time from being unable to capitalize on the activities of their registered representatives.

Read more
15

Casting Further Light on Shadow Trading

15 Mar, 2023

When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy the company he worked for, he is alleged to have bought options in another competitor’s stock prior to the news of the acquisition going public. This led to him being accused by the SEC in 2021 of insider trading. But while the SEC prosecutes approximately 50 insider trading cases a year, this was not the typical misappropriation of information or tipper/tippee liability but an instance of what has since been dubbed ‘shadow trading’.

Read more
08

The Uneven Progress in Closing the Gap for Women in STEM

08 Mar, 2023

International Women’s Day is a time to reflect on the advances that women have made in society and culture and to recognise the challenges we still need to overcome. 

Read more
 
  •   +1 301.340.3900

  • Copyright © 2022 StarCompliance All Rights Reserved