EMPLOYEE CONFLICTS OF INTEREST

Private Investments Compliance Solutions

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.

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.

How It Works

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.

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.

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.

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.

Personal Trading, Outside Activity

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.

Why Choose StarCompliance?

Our future-ready compliance solutions deliver powerful results.

Extensive workflows are highly configurable, powered by conditional logic.

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

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

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

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

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

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