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StarCompliance Overview Brochure (10 April)

StarCompliance Brochure Our Clients Service excellence – from implementation to ongoing support Serving global financial organizations The StarCompliance platform is trusted worldwide by major enterprise firms and financial institutions. The STAR application offers resource savings, process efficiencies and regulatory compliance assurances to a wide portfolio of clients, including asset-management firms, investment houses, banks, broker-dealers, hedge funds and insurance companies. These global clients enjoy support and high standards of personalized service from our compliance technology specialists. The StarCompliance team, located around the world, will support you every step of the way as you implement the STAR platform – from initial advice and planning, through to configuration, deployment and ongoing support. Customized training and software development We provide comprehensive, personalized training for your compliance teams, supported by a dedicated training expert. You have access to a robust knowledge base, user guides and monthly training webinars to support your day-today usage of STAR technology. We also provide resources and training sessions for new features and enhancements, as they are added to the platform. 9

StarCompliance Brochure CASE STUDY: Global asset-management firm StarCompliance technology is enabling the US-based compliance team of this major financial organization to manage the compliance requirements and improve regulatory performance for a global workforce of more than 7,800 employees. The STAR platform has delivered significant efficiency improvements and time savings. Prior to STAR implementation, only 25% of transaction confirmations were posted automatically. This has now increased to 93%, using data feeds from more than 20 broker-dealers. The company has also achieved a 100% on-time completion rate for the annual compliance certificates it collects from all employees. “Our goal with STAR is to make it our employees’ one-stop shop for all compliance activities. We wanted to make it as easy as possible for people to meet their obligations… STAR makes compliance quick, convenient and straightforward for everyone.” Legal Compliance Manager 10

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