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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. 5

StarCompliance Brochure The more data you can integrate into the system, the more you can automate your processes and decision-making in relation to conflicts of interest. 6

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