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Our experts partner with compliance teams around the world to provide customizable, user-friendly software solutions designed to simplify every-day compliance processes while ensuring you meet the strictest regulatory standards.

Our system offers a host of benefits and reassurances for compliance leaders, compliance teams and technology specialists.

Automated conflict of interest detection and mitigation helps your compliance teams work better, faster and more effectively. The rigor of our reporting, surveillance, certification and security systems provides complete peace of mind for Chief Compliance Officers and board members.

Helping you to detect and prevent market abuses that could jeopardize your reputation and regulatory compliance. Actively manage insider lists and investigate employee trading in the context of current market activity and events.

Ensure employees’ personal trading and investments comply with all regulatory requirements and company policies.

Ensure employees’ personal investments comply with all regulatory requirements and company policies.

Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.

Avoid regulatory compliance breaches arising from employees’ external business activities.

Save time and resources in safeguarding your business from political conflicts of interest among employees worldwide.

Helping you to actively manage employee trading in the context of market activity and events to guard against insider trading.

Create unlimited projects to easily manage and monitor dynamic lists of employees who have access to insider information.

How does your firm handle Conflict of Interest issues?

In News Stories, In All by StarCompliance October 31, 2016

When a problem in the compliance department arises, people often question the policies. However, it is what you do in the wake of potential violations that shows how seriously your firm takes and handles conflict of interest issues.

We recommend that you review your conflict of interest policies regularly and then look at the systems you have in place to monitor, detect and prevent violations of your policies. Are all of your internal systems working with each other? Is the money and time you have spent creating a system to manage potential conflicts of interest living up to its expectations?

By using StarCompliance’s system, you will have the ability to leverage our developmental expertise and regulatory insights to reduce your risk of violations saving your firm, substantial fines and possible jail time for stakeholders.

It is important to trust your employees but also to have systems in place to verify the information is valid. As in the case of Yi Chen, CPA (SEC Administrative Proceeding File No. 3-17361)  who served as a Corporate Controller, which allowed her access to confidential financial information and was trusted to comply with the policies and procedures in place to prevent insider trading. Clearly, the SEC’s view is that she violated that trust.

We invite you to take the time to re-evaluate what you are using to monitor, detect and prevent insider trading, and compare it to StarCompliance’s configurable compliance solution.

Click here to view our solutions.

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