SEC Charges Investment Bank and Former ECM Syndicate Banker with “Bought Deal” Fraud
In 2024, the SEC charges Investment Bank for violations preventing the misuse of material, nonpublic information. Find out what happened and how you can prevent it.
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Enterprise Conflicts Management
Make faster, smarter decisions and reduce firm risk with our full-service solution used by enterprise financial firms to capture and monitor the flow of Material Non-Public Information (MNPI) and identify and properly manage enterprise conflicts.
MNPI Compliance No Longer Needs To Be Complex
Our solution was designed to create transparency and to simplify critical workflows between employees, the business, and compliance.
Below are the key workflows we offer to create efficiency for enterprise firms.
MNPI & Enterprise Conflicts Solutions
Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
Around the globe, investment banks are using the STAR Platform to spot enterprise conflicts, manage wall crossings, monitor deal teams, and more. Interested in streamlining workflows and improving transparency?
Enterprise conflict checking
- Surface potential conflicts quickly across all deals, employees, and related parties
- Integrate with key systems and data to extend your view & conflict checks
- View key information throughout the deal life-cycle
- Track, record and monitor wall crossing and market sounding requests and approvals
- Make it easy for employees to report MNPI from the employee portal
Centralized list management
- Maintain and update your global watch and/or restricted lists from one system
- Restrict companies and securities supported by a robust security master and legal entity database learn more
- Insider List Management
- Maintain lists of individuals who are aware of MNPI
Detailed audit tracking
- View creations, changes, and deletions across the lifecycle of a deal
- Track the lifecycle of MNPI events, including creations, changes, and deletions
Integration capabilities
Call upon critical data from existing firm systems by integrating your deal management, order management, human resources, and research tools to gain an even wider view of firm activity.
The enterprise software shown in this graphic are not an exhaustive list of Star’s integration capabilities.
Both regulators require that said lists must include:
- The identity of any person having access to inside information
- The reason for including that person on the insider list
- The date and time that person gained access to inside information
- The date on which the insider list was drawn up
Whether deal-based or permanent insiders, Star’s MNPI Management tool makes it easy for firms to collate, maintain, and update Insider Lists with ease and efficiency in one central location—all in the name of protecting market integrity.
Trusted by firms around the world
On-Demand Configurability
Extensive workflows are highly configurable, powered by conditional logic.
Multi-Jurisdictional
Tailor time zone, currency, language, and more for global employees.
Intuitive UX
Drive employee adoption with ease and simplify employee access via standard authentication and/or single sign-on.
Actionable Intelligence
Quickly and easily get real-time analytics through customizable dashboards and reports.
Multi-Layered Protection
Safeguard sensitive data with multi-layered access rights based on division, department, role, location, and more.
Future-Ready Architecture
Gain a 360-degree view of your employee compliance anywhere with scalable, cloud-ready software and integrations with Snowflake, Thoughtspot, and PowerBI.
Featured Resource
The MNPI Compliance Handbook
A comprehensive guide to MNPI and control room design and development: optimization best practices, defining scope/mandate, software/tech, and more.
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SEC Charges Investment Adviser for Policies and Procedures Failures
Late last year, (December 26, 2023), the Securities and Exchange Commission (“SEC”) settled charges against OEP Capital Advisors, L.
