StarCompliance makes employee conflicts of interest monitoring simpler and easier than ever. Whether it’s simplifying the outside business activity declaration process or automating the assessment of employee trade requests for real-time approvals, the STAR Platform can solve all your compliance needs. Assess trade requests against a fully configurable rules engine that you define—giving employees an immediate decision or allowing a multi-level review.
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Solutions For You
Spreadsheets are out. Automation is in. Our intuitive, configurable employee trading compliance software automates the detection of potential conflicts of interest across your organization, safeguarding its integrity and reputation.
STAY COMPLETELY UP TO SPEED Easy Declarations
Employees quickly and easily declare their outside business interests via configurable forms you define within STAR.
Document and monitor the most common and critical outside employee business interests, including board-level roles and directorships.
Document family members or connected individuals working at other financial firms, as well as charitable donations.
FAST, AUTOMATED DECISIONS Pre-Clearance
Employees quickly and easily fill out pre-clearance request forms and receive automated approval or denial decisions within seconds.
Automate the post-trade reconciliation process by receiving electronic notifications from brokers confirming employee trades.
Implement escalation channels for trades that need further analysis and review by the employee’s manager and/or compliance team members.
Survey employee records automatically—quickly surfacing transaction anomalies or patterns of behavior that may require further investigation.
YOUR FIRM, YOUR RULES Trading Rules Engine
Highly configurable, the rules engine uses your firm’s code of ethics and policies to inform and automate the pre-clearance process.
Leverage decision-making data from systems across your business—like HR, executed trade records, and order-management—with easy integrations into STAR.
Easily create blackout lists or restricted lists that apply to all employees or specific individuals to inform the rules engine of trading limitations.
No more waiting on others to make changes. Manage and update the rules engine directly from your admin portal.
EASY REVIEWS AND INVESTIGATIONS Case Management
View all possible trading breaches that may require investigation and resolution by the compliance team.
Collate data and evidence, add annotations, and assign cases to relevant team members for resolution.
Record the entire case cycle for audit purposes. Use management reports to identify trends and support continuous improvement.
Supporting clients in 89+ countries
No matter where your enterprise financial firm operates, Star software has you covered. Our solutions help the following firms meet their regulatory requirements laid out by the SEC, FINRA, FCA, and more.
