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 personal trading and investments comply with all regulatory requirements and company policies.
Comprehensive pre-clearance and post-trade monitoring across 130+ exchanges and 30+ blockchains.
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.
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.
Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
Around the globe, investment banks are using the STAR Platform to spot enterprise conflicts, manage wall crossings, monitor deal teams, and more. Interested in streamlining workflows and improving transparency?
Accountability & Competency
Comply with global accountability regimes by fortifying employee accountability, training, and competency.
Strengthen your employees’ individual accountability and effectively demonstrate compliance to regulators, all with complete traceability.
Develop a culture of compliance, drive firm-wide adoption, and protect your firm’s reputation with a solution that builds trust and certainty.
License & Registration
Take advantage of centralized monitoring and easy integration with FINRA and other regulators.
Manage your License and Registration workflows with confidence
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.
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