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Compliance Reporting & Analytics

Automatically surface activity you might otherwise miss. Make critical decisions with increased speed and confidence. Star's suite of in-app reporting tools combined with dashboard analytics give compliance teams and frontline managers the data they need—how and when they need it.

 

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THE WORLD IS AWASH IN DATA

Insight Driven Dashboards
Will Help You Make Sense Of It 

Compliance is increasingly expected to do more with less. Insight Driven Dashboards put actionable intel in front of compliance officers and frontline managers in an interactive format in near-real time. So you can be proactive, not reactive. You’ll reduce workload, create efficiencies, and further reduce firm risk. 

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Changing The Way Businesses Interact With Their Compliance Data

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Faster Access To Actionable Insights
Conventional dashboards require compliance officers to seek out insight. Insight Driven Dashboards automatically collect critical data and present it for intuitive consumption and quick analysis—allowing compliance to be proactive, not reactive.
Making Compliance A Business Partner
Insight Driven Dashboards empower frontline managers to monitor the employees they’re closest to—a real advantage in mitigating firm risk and avoiding the kinds of regulatory infractions that could impact revenue and profit.  

Zooming Out For A Bigger Picture
Insight Driven Dashboards don't just bring you historical information. They surface the critical insights hidden within it. The actionable intel you need to stay on top of risk firm-wide and make faster, more-precise business decisions with ease. 
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IN-DEPTH REPORTING & MANAGEMENT INFO
Macro View To Micro View

Choose from 100+ standard reports—prebuilt and ready to use—that cover a wide variety of common queries. Any report can be exported to Excel.

Configure your own reports. Customize by simply dragging and dropping fields into the requested view. Use the Filter Builder to build your own filters.

Schedule and distribute reports to user groups or individuals automatically at set intervals. Data visibility is applied to all aspects of reporting.

Choose from a range of graphs and charts to make your data clear, easy to interpret, and compare. Customize your visuals with group and filter settings.

TALK TO THE EXPERTS

Schedule a personalized demo with a Star professional to see what the STAR platform can do for you.

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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.

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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’.

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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. 

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