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StarCompliance Overview Brochure (10 April)

StarCompliance Brochure MARKET ABUSE SOLUTIONS OUR PRODUCTS Detecting trades ahead of price movements or significant events The STAR platform can help your organization remain compliant with relevant aspects of market abuse regulations. Our market abuse solutions focus on helping you tackle insider trading, enabling you to monitor employee activity in the context of significant market events. INSIDER TRADING DETECTION INSIDER LIST MANAGEMENT Insider trading is one of the most significant risks for any financial services firm. If detected, insider trading can cause serious reputational and financial damage to your organization. Our Insider Trading Detection product enables your compliance team to actively manage employee trades, contextualizing them against market activity to identify potential illegal trading that may have been motivated by inside information. Issuers and all firms acting on their behalf, such as investment banking divisions, must keep a list of all people who have inside information at any time. Our Insider List Management product enables you to maintain and manage this database, and handles all communications with the employees concerned. This means that if regulators ever request information about potential insider trades, you have all the details required at your fingertips. 7

StarCompliance Brochure WHAT’S IMPORTANT Detecting trades ahead of price movements or significant events Your compliance team can use our Market Abuse solutions to screen for employee trades that occurred prior to key market events, such as price movements, mergers or acquisitions – potential indicators of insider trading. This saves significant time and resources in carrying out the task manually – and offers much greater accuracy. Following detection, a compliance officer can raise a case in the system, with links to all relevant information and news articles, so the likelihood of insider trading can be properly assessed. STAR uses newsfeeds from diverse, respected sources, and applies a powerful filtering and indexing system to highlight items that are most relevant to your business. The system cross references these news events with your employee trading data, looking for any unusual trades that could have been based on inside information. By automatically gathering and sorting the contextual information surrounding employee trades, the Insider Trading product helps you to catch incidents that may otherwise slip through the net. 8

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