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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.

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.

Automatically monitor employee state, local, and federal political contributions and reduce the risk associated with breaking pay-to-play laws. 


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 designed,...

Illegal Insider Trading Solution: Best Practice Guide

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

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

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

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. Gincel...

Top 12 Areas to Consider

by StarCompliance January 20, 2016
This document summarizes what we think are the important things to look for when evaluating any solution. Of course, we believe Star Compliance’s solution is the market leader in this field, but we hope this document will prove to be useful.

Making a giant leap forward

by StarCompliance October 21, 2015

StarCompliance is making a giant leap forward to ensuring its clients stay a step ahead in the race for regulatory compliance. Already a leading provider of compliance software solutions for the financial services industry, the company is set to...

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