SEC Cracks Down on CLO Manager’s Insider Trading Controls
The Securities and Exchange Commission (SEC) recently took action against a registered investment advisor, Sound Point Capital Management, for failing to have proper safeguards…
EMPLOYEE CONFLICTS OF INTEREST
Insider Trading Compliance Solutions
Keep your compliance team in the know and reduce the chances of market abuse with our easy-to-use insider trading solution. Track which employees have material and non-public information using insider lists and compare employee trades against high-impact global events and market activity.
AUTOMATED TRADE SCREENING
Trades Put Into Context
- Automatically screen for employee trades that occurred prior to key market events, such as price movements, mergers, or acquisitions.
- Following detection, easily raise a case in the STAR system, which includes links to all relevant information and news articles.
- Interactive graphs make pinpointing where insider trading may have occurred simpler, showing relevant trades, market closing prices, and high-impact news items.
- Demonstrate due diligence to regulators and be able to provide audit records—showing you’re doing everything possible to prevent and mitigate insider trading.
Employee Conflicts of Interest Solutions
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
Comprehensive pre-clearance and post-trade monitoring across 130+ exchanges and 30+ blockchains..
Simplify the declaration of employee private investments with outside organizations.
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery and corruption regulations.
Avoid regulatory compliance breaches arising from employee external business activities.
Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide.
Actively manage employee trading in the context of current market activity and news events to protect your company’s reputation.
ORGANIZED, CENTRALIZED DATA
Insider List Management
- Record all employees involved in every project, including when they join the project, what information they’re privy to, and when they leave.
- Easily manage and automate employee communications so they know when they’ve been added and removed from a list.
- Have every detail on every project at your fingertips, if and when regulators or issuers ever request an insider list
NEWS & EVENT CORRELATION
Data Management & Enhancements
More easily detect insider trading with trade correlation against a global newsfeed that pulls hundreds of thousands of news articles from a variety of global media outlets daily.
Trusted by firms around the world
WHO’S LURKING IN THE DARK?
Bring Shadow Traders To Light
The newest threat against a fair financial market—shadow trading. Let StarCompliance arm you with the power to put a stop to shadow trading before it can start.
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 Compliance Officer’s Guide To Employee Compliance
The Compliance Officer’s Ultimate Guide To Employee Compliance is a comprehensive resource offering actionable advice on how to build a compliance program at your firm that will keep you up to date, up to speed, and in the know.
Related Posts
-
-
The Trades Are Coming from Inside the Company
Navigating Insider Trading Through the Power of Compliance Technology In the complex world of financial markets, maintaining compliance with insider trading regulations is crucial…
-
Remembering Ivan Boesky
Why is it important to remember a person who was convicted of insider trading? So, we can learn from his mistakes. That while some may think “greed is good” it doesn’t mean that insider trading is right.
