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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.

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

In News Stories 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?

In News Stories, In All, In Featured 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

In News Stories, In All 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?

In News Stories, In All 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...

Illegal Insider Trading Solution: Best Practice Guide

In All, In Whitepapers by StarCompliance May 18, 2016
Illegal insider trading generally refers to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, non-public information about the security…

Build vs. Buy

In All, In Whitepapers by StarCompliance May 4, 2016
All companies are looking to implement compliance solutions that improve efficiency, reduce risk and reduce the compliance burden on their employees. On the one side, companies are tempted to leverage modern software development techniques…

Managing and Processing Personal Trading Data

In All, In Whitepapers by StarCompliance April 1, 2016
A crucial part of monitoring personal trading activity is ensuring accurate and timely receipt of information from the brokerage firms that hold and manage your employee’s accounts…

Just Between Friends

In News Stories, In All by StarCompliance March 8, 2016

Insider trading protection has been a necessity since the Securities and Exchange Act of 1934. Now, more than ever, it is an imperative: the SEC have settled what is believed to be the lowest-profit case in its history, after Mr. Lawrence M....

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