AI TOOL PROFILE
StarCompliance: Regulatory Employee Compliance Software
- Finance and Accounting
- Compliance Management
- Asset Managers
- Broker-Dealers
- Digital Asset Service Providers
- Private Equity Firms
- Banking Institutions
- Enterprise Compliance Teams
Pricing
Pricing was not clearly available from the provided evidence. Pricing is customized based on the number of users and product selection. Buyers should confirm current pricing on the vendor website.
At a glance
- Best for
- Asset Managers, Broker-Dealers, Digital Asset Service Providers, Private Equity Firms, Banking Institutions
- Key use cases
- Employee Trade Monitoring, Conflict Disclosure Management, Regulatory Accountability Tracking, MNPI Oversight
- Integrations
- Snowflake, Thoughtspot, PowerBI, Broker feeds, HR systems
- Official website
- Visit star compliance official website
How AI is used
StarCompliance is a regulatory employee compliance platform designed for financial services organizations, including asset managers, broker-dealers, and banking institutions. The software helps identify and mitigate conflicts of interest by monitoring employee behavior and trading activity.
The platform provides a system for tracking personal account dealing, crypto assets, and other potential conflicts such as political donations and outside business activities. It also includes firm-level controls for managing material non-public information (MNPI) and conducting marketing compliance reviews.
Because pricing is customized based on user count and product selection, organizations should request a quote to determine the cost for their required modules.
Key Features
Personal and Crypto Dealing Oversight
Supports pre-clearance and post-trade monitoring for traditional investments and digital assets across various exchanges and blockchains.
Conflict of Interest Tracking
Provides modules for recording and reviewing Gifts & Hospitality, Outside Business Activities, and Political Donations.
Compliance Control Room
Designed to manage conflicts, monitor deal teams, and handle wall crossing workflows.
Individual Accountability Management
Supports regulatory requirements for accountability regimes in the UK, Singapore, Ireland, and Australia.
AI-assisted Marketing Review
Includes AI assistance to support the review process for marketing and advertising materials.
Firm Trade Surveillance
Compares firm trades against watch lists and restricted lists to identify potential risks.
Use Cases
Employee Trade Monitoring
Managing pre-clearance and post-trade oversight for personal account and crypto dealing.
Conflict Disclosure Management
Centralizing the submission and approval of gifts, hospitality, and external business engagements.
Regulatory Accountability Tracking
Supporting compliance with global individual accountability regimes through traceability.
MNPI Oversight
Managing insider lists, restricted lists, and wall crossing processes for sensitive information.
Integrations
- Snowflake
- Thoughtspot
- PowerBI
- Broker feeds
- HR systems
FAQ
Who is StarCompliance designed for?
- It is designed for compliance teams, HR representatives, and financial services organizations such as asset managers, broker-dealers, and banks.
How is StarCompliance priced?
- Pricing is customized based on the number of users and the specific product modules selected.
Does StarCompliance support crypto assets?
- Yes, it provides pre-clearance and post-trade oversight for crypto dealing across 35+ exchanges and 30+ blockchains.
Is there a free trial available?
- No, StarCompliance does not offer a free trial; interested buyers should request a demo.
Source category: Finance & Accounting
Source subcategory: Compliance Management
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