Enterprise Conflicts Handbook
This comprehensive guide to enterprise conflicts takes you step-by-step through design and development, including optimization best practices, defining scope, identifying technology, and more.
COMPLIANCE CONFIDENCE
Regulatory Compliance for Sell Side Firms
Investment banks, broker-dealers, and diversified financial firms face ongoing challenges in managing material non-public information (MNPI), monitoring communications, and enforcing information barriers. Ensuring compliance with SEC and FINRA expectations requires robust controls to prevent insider trading and manage conflicts of interest.
Star helps you stay ahead—streamlining oversight and safeguarding sensitive information.
Trusted by firms around the world
PROTECT YOUR FIRM
Stay Ahead of Risk
Employee conflicts of interest create significant compliance risks for sell side firms. From personal trading to outside business activities, firms need clear policies and efficient processes to prevent misconduct.
Star’s Employee Conflicts of Interest solution automates workflows, reduces friction, and flags risks in real time—giving compliance teams the visibility and control they need.
STAR Solutions
Employee Conflicts of Interest
Protect your employees and reduce risk with a suite of solutions designed to address a range of issues.
Ensure employee trading and investments meet all regulatory and internal policy requirements.
Gain comprehensive pre-clearance and post-trade oversight across 100+ crypto exchanges and 25+ blockchains.
Simplify declarations for employees holding non-publicly traded investments.
Track and report gifts and entertainment—given or received—to stay compliant with anti-bribery regulations.
Easily capture and manage employee disclosures for external business engagements.
Enforce pay-to-play thresholds and minimize employee-related risk with purpose-built tracking and controls.
Monitor employee trading against market activity and public news to detect potential insider risks.
MNPI & Enterprise Conflicts
Centralize deal data and identify business and employee conflicts
Star’s Compliance Control Room lets you organize and manage your most important inside information data flows and conduct conflict searches with ease—all from a single platform.
Centralize MNPI oversight with tools for wall crossings, insider lists, restricted lists, and more.
Manage conflicts, monitor deal teams, and streamline wall crossing workflows with StarCompliance Enterprise.
Accountability & Competency
Comply with global accountability regimes by fortifying employee accountability, training, and competency.
Meet regulatory requirements across the UK, Singapore, Ireland, and Australia.
Track employee training, manage certifications, and ensure ongoing compliance through customizable oversight and reporting.
License & Registration
Take advantage of centralized monitoring and easy integration with FINRA and other regulators.
Streamlined broker-dealer licensing and registration processes for employees and compliance teams.
Related Assets
The MNPI Compliance Handbook
A comprehensive guide to MNPI and control room design and development: optimization best practices, defining scope/mandate, software/tech, and more.
Large US Bank Implements Control Room
Find out how this firm consolidated their outdated legacy systems with Star’s future-ready employee compliance platform
A Cautionary Tale For Broker-Dealers
FINRA Charges Firm for Supervisory Failures In October, ViewTrade Securities, a broker-dealer, found itself facing regulatory action by FINRA, worth $40,000 in fines, for…
The Future of Leveraged Loans, Mergers & Acquisition, and Leveraged Buy Out Financing
A recent PitchBook article highlights that bankers and analysts foresee another active year for the credit market in 2025.
Managing FINRA Compliance In 2025
Aligning with FINRA’s Regulatory Priorities As financial firms navigate an evolving regulatory environment, the 2025 FINRA Annual Regulatory Oversight Report offers crucial insights into FINRA’s…
