Since 1934, the SEC has sought to protect investors and consumers from bad actors—namely, those who attempt to manipulate markets for their own gain. Through regular reports and occasional audits, the SEC keeps watch over any public company selling securities, including its leadership and principal stockholders, to promote fair trading, prevent market abuse, and ensure transparency of market information.
Backed by the federal government, the SEC monitors these entities for violations related to:
Those who violate the SEC’s terms risk steep fines, embarrassing investigations, the devastating loss of investors, and even incarceration. So how can you protect your firm from potential threats while ensuring SEC compliance?
By implementing an airtight compliance program built with ease-of-use in mind, all team members can stay in the loop and out of trouble.
Star’s suite of SEC compliance solutions protect your firm against violations of the following:
The Securities Act of 1933: Requires that companies make information regarding securities for public sale readily available to investors. See our Employee Conflict of Interest solutions.
The Securities Exchange Act of 1934: Ensures that publicly traded companies disclose important information to current and potential shareholders by prohibiting insider trading and other fraudulent activities. See our Employee Conflict of Interest solutions.
Investment Advisers Act of 1940: Defines the role and responsibilities of an investment adviser, specifies what qualifies as investment advice, and stipulates who must register with state and federal regulators in order to dispense it. See our License & Registration solution.
Sarbanes-Oxley Act of 2002: Mandates responsible and transparent financial record keeping for corporations to protect investors from fraudulent reporting. See our Incident & Policy Management Solution.
360° data visibilitySupport transparency and cross-functional collaboration
Update information quickly and accurately without risk of human error
Streamline reporting capabilities with attractive, error-free documents
Support easy employee adoption
Lower costs by streamlining processes
Scale up or down while safeguarding employee data
Personal Trading
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
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Gifts and Entertainment
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.
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Outside Activity
Avoid regulatory compliance breaches arising from employee external business activities.
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Private Investments
Simplify the declaration of employee private investments with outside organizations.
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Insider Trading
Actively manage employee trading in the context of current market activity and news events to guard against insider trading and protect your company’s reputation.
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Political Donations
Save time and resources safeguarding your business from conflicts of interest arising from political alignments or associations among employees worldwide.
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Star's Incident Management solution offers the industry’s most comprehensive intake methods for reporting your company’s concerns, and collects, manages, and resolves any incidents that arise. This solution includes a powerful workflow engine and notification matrix along with a comprehensive, easy-to-use reporting and analysis platform.
Star's Policy Management solution makes creating, maintaining, and managing your policies simple. In addition, this solution offers easy mobile access for employees to review and attest to policies, includes access to a large policy library to quickly drop in augment your existing policies, and seamlessly integrates into Star's Incident Management platform.
