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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.

Clear deals faster. Centralize deal data. Reduce your risk. Compliance Control Room lets you organize, manage, and monitor your firm's most important information flows from a single platform.

Whether for work or pleasure, it’s a mobile world. And a mobile workforce calls for mobile solutions. Introducing STAR Mobile. With STAR Mobile, employees pre-clear activity and report transactions on-the-go. Supervisors review escalated requests anywhere there’s a cell connection.

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.

Compliance Control Room's enterprise-level single platform centralizes all your firm's deal-related activity—letting you manage control room activities more efficiently and effectively.

Increase employee participation. Increase data accuracy. Increase responsiveness. STAR Mobile is a native app that makes compliance simple, easy, and convenient.

Tim Ward, Director of Product Management, StarCompliance to Speak at The Knowledge Group's Event

by StarCompliance May 30, 2018
NEW YORK - Jan. 23, 2018 - PRLog -- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Tim Ward, Director of Product Management, StarCompliance will...

StarCompliance Launches New Website With Industry Leading Knowledge Base

by StarCompliance February 8, 2018

ROCKVILLE, MD February 8, 2018 – Today, StarCompliance announced the relaunch of its website: www.starcompliance.com. The new site offers the financial services industry unique resources, which will save clients time, money, and improve...

StarCompliance and Luminate Capital Announce Strategic Investment (PRESS RELEASE)

by StarCompliance July 27, 2017

ROCKVILLE, MD, YORK, U.K., and SAN FRANCISCO, CA, July 27, 2017 – StarCompliance, LLC, the leading provider of enterprise compliance and regulatory software solutions for the financial services industry, announced today that it received an...

How does your firm handle Conflict of Interest issues?

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.

Should software companies offer prospective clients a Proof of Concept (POC) engagement?

by StarCompliance October 7, 2016

A few years ago, our company invested in some training for our sales team. Core to the methodology of this particular system was that product demonstrations should never be given - or, at the very least, avoided if at all possible. This runs...

Can You See Over the Edge of the Horizon?

by StarCompliance October 4, 2016

At StarCompliance, we focus on employee conflicts of interest almost exclusively and as a result we spend a great deal of time thinking about conflicts of interest issues and how we can automate a solution for our clients. That being said, it is...

The SEC bringing new civil charges case for Insider Trading

by StarCompliance September 22, 2016

The SEC announced today that they are bringing civil charges against Leon Cooperman and Omega Advisors for insider trading. The SEC alleges that Cooperman, who was a large shareholder in APL received confidential information and ultimately traded on...

Preventing Conflict of Interest Violations. Are you covered?

by StarCompliance July 14, 2016

Recently, the SEC found a large fund complex in violation of sections 203(e) and 203(k) of the Investment Advisers Act of 1940 “…the company’s failure to establish, maintain, and enforce written policies and procedures reasonably...

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