StarCompliance
StarCompliance offers compliance software solutions for financial services firms, focusing on employee conflicts of interest and regulatory compliance.
Categories
StarCompliance Platform
StarCompliance is a company that provides a comprehensive compliance platform designed to streamline and automate employee compliance processes. Their platform offers a suite of solutions to manage personal trading, gifts and hospitality, political contributions, and regulatory obligations, all within a unified system. This integration enables compliance teams to monitor and manage employee activities effectively, ensuring adherence to both internal policies and external regulations.
Features
- Personal Account Dealing: Ensures employee trading and investments meet all regulatory and internal policy requirements.
- Crypto Dealing: Provides pre-clearance and post-trade oversight across multiple exchanges and blockchains.
- Private Investments: Simplifies declarations for employees holding non-publicly traded investments.
- Gifts & Hospitality: Tracks and reports gifts and hospitality to maintain compliance with anti-bribery regulations.
- Outside Business Activities: Captures and manages employee disclosures for external business engagements.
- Political Donations & Activities: Enforces pay-to-play thresholds and minimizes employee-related risk with tracking and controls.
- Firm Trade Surveillance: Compares firm trades against watch lists and restricted lists to detect and investigate potential trading risks.
- Broker-Dealer Registration: Streamlines broker-dealer licensing and registration processes for employees and compliance teams.
- Sales Compliance Review: Automates and standardizes sales oversight to ensure every interaction meets compliance and conduct standards.
- Individual Accountability: Meets regulatory requirements across multiple jurisdictions, including the UK, Singapore, Ireland, and Australia.
- Training & Competency: Tracks employee training, manages certifications, and ensures ongoing compliance through customizable oversight and reporting.
- MNPI Management: Centralizes material non-public information oversight with tools for wall crossings, insider lists, restricted lists, and more.
- Compliance Control Room: Manages conflicts, monitors deal teams, and streamlines wall crossing workflows.
Company Details
- Headquarters
- 🇺🇸 Rockville, United States
- Founded
- 1999
- Type
- Legal Tech Vendor