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.
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.
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.
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’.
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.