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StarCompliance Overview Brochure (10 April)

StarCompliance Brochure Our Solutions Compliance management solutions designed around you The STAR application is an all-in-one solution, designed to improve the efficiency and effectiveness of regulatory compliance processes. Our solutions fall into two categories: 1 2 Conflicts of interest solutions Automate the monitoring and mitigation of employee conflicts of interest in personal trading, gifts and entertainment, outside business activities and political donations – helping your compliance teams work better, faster and more effectively. Market abuse solutions Automatically screen for employee trades completed prior to key market events, such as price movements or mergers – giving you a faster, simpler and more accurate way to monitor and prevent insider trading. 3

StarCompliance Brochure CONFLICTS OF INTEREST SOLUTIONS OUR PRODUCTS Automated conflict of interest detection and prevention Your customized StarCompliance software will help you to identify and mitigate conflicts of interest across your business. We offer five products that address the key areas of concern for large financial institutions: PERSONAL TRADING Monitoring employee personal trading activity is of significant importance to any investment business. To minimize risk, compliance teams need a way to ‘pre-clear’ any intended transactions. StarCompliance software automates this process, assessing requests against a fully configurable rules engine to give employees a rapid permission or refusal to trade. GIFTS AND ENTERTAINMENT Gifts and entertainment can be crucial to maintaining good employee-client relations, but needs to be managed and monitored properly. The StarCompliance Gifts & Entertainment product allows employees to pre-clear and report planned gifts and entertainment, ensuring that gifting limits for each client, supplier or employee are not exceeded. OUTSIDE BUSINESS ACTIVITY Employees with business interests or board-level roles outside your company need to be especially careful to avoid activities that could cause conflict with your business. The STAR platform enables your employees to quickly and easily declare outside business activities, using fully customizable declaration forms. POLITICAL DONATIONS Our Political Donations product enables you to monitor contributions to politicians and political entities, while safeguarding your business reputation. The STAR application allows you to automatically monitor employee political activities to ensure they do not exceed donation limits. It simplifies the process of monitoring political contributions across countries, lines of business and user groups. PRIVATE INVESTMENTS Conflicts of interest between outside organizations and the firm can be avoided with our private investments product, enabling you to monitor employee activity related to personal investment decisions. The STAR platform enables your employees to quickly and easily declare private investments, using fully customizable declaration forms. 4

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Issue 10 / April 2011