FINRA Gift Rules and Monitoring
Gift-giving and entertaining—commonly known as “wining and dining”—have long been integral to business practices, serving to build relationships and facilitate negotiations.
EMPLOYEE CONFLICTS OF INTEREST
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.
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
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.
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:
Personal Trading, Gifts & Entertainment, Political Donations
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:
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:
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.
Trusted by firms around the world
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.
Related Posts
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Navigating Canadian Employment Compliance Regulations
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Personal Account Dealing Policy and Compliance
What the FCA has to say about personal account dealing, and how StarCompliance can help.
