StarCompliance Overview Brochure (10 April)

StarCompliance Brochure
Product Features
Our conflicts of interest products provide a range of features to
help you optimize your compliance operations:
Pre-clearance
Surveillance
Case management
This feature enables you to automate
all pre-clearance activities associated
with personal trading, gifts and
entertainment, outside business activity
or political donation requests. Employees
fill out a pre-clearance request form and
await an automated response-approval/
denial or need to review.
The pre-clearance feature maximizes the
benefits of STAR’s integration with your
company’s HR systems, meaning that all
details about each employee are taken
into account in determining whether a
requested activity constitutes a conflict
of interest.
The STAR platform collects and
integrates data from systems across your
business, which are cross-referenced
when any employee request is made.
Data is drawn from HR and CRM
systems, order-management systems
and executed trade records, as well as
public data sources, such as news feeds.
Your compliance team can use this
feature to survey employee records for
anomalies or patterns of behavior that
may require investigation. Many of the
checks can be automated to identify
suspicious activity.
The case-management feature brings
together all possible trading or gifts
and entertainment breaches that
may require investigation by the
compliance team. You can collate
data and evidence, add annotations
and assign the case to relevant team
members. The whole cycle, from
detection through investigation to
resolution is recorded in the system
for audit purposes.
Reporting and management
information
Rules configured for your
business
Certifications and
attestations
The STAR software includes a
comprehensive reporting and
management information suite,
providing a 360-degree view of all
employee behavior and activity. The
platform generates comprehensive,
meaningful and easily accessible reports,
which can be distributed automatically
at required intervals. More than 100
standard graphical report templates are
available, and our easy report builder
enables you to create many more to suit
your requirements.
The rules applied to employee
pre-clearance requests are highly
configurable. Each request goes
through a rules engine programmed
with your business’s specific rules and
policies. In cases where automated
approval or denial is not possible,
the system will escalate the request
to a multi-level review process, with
queries sent out to relevant decisionmakers
in your business.
The STAR application enables
you to automatically collect and
store regulatory certifications and
attestations from your employees.
At regular intervals you can collate
all data on each employee into an
attestation for them to check and
approve. By submitting an attestation,
the employee is confirming that all
recorded information is accurate.
Approved certificates are stored by
the system for future reference.
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