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STAR Platform from StarCompliance

Integrated compliance management platform with modules for personal trading, outside business activities, gifts and entertainment, and advisor supervision. Features include automated monitoring, conflict detection, case management, and comprehensive reporting.

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Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...

Advisor Activity Monitoring
(7 Yes /7 Known /10 Possible features)

Client Communication Supervision
(9 Yes /9 Known /10 Possible features)

Trade and Transaction Supervision
(9 Yes /9 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(9 Yes /9 Known /10 Possible features)

Policy Management
(10 Yes /10 Known /10 Possible features)

Surveillance & Alerting
(8 Yes /8 Known /10 Possible features)

Case Management & Investigation Tools
(9 Yes /9 Known /10 Possible features)

Reporting & Analytics
(9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability
(8 Yes /8 Known /10 Possible features)

System Security & Privacy Controls
(9 Yes /9 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		STAR Platform advertises real-time monitoring of advisor actions, supporting immediate compliance oversight.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Historical audit logs are a core part of STAR's case management and investigation modules. Detailed action records are referenced in platform literature.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		Described use of automated conflict detection and activity flagging in official product notes.
Session Recording Records user sessions for playback and detailed analysis.		No information available
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements.		STAR provides configurable rules and workflows for supervision and monitoring based on firm/regulatory requirements.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Behavior analytics are mentioned as part of advisor supervision and monitoring.
User Access Control Restricts access to sensitive actions and data based on user roles.		User access controlled by roles and permissions—standard for financial compliance systems, documented in STAR platform overview.
Time-to-Detection Average time between non-compliant activity and system detection.		No information available
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once.		No information available
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring.		STAR lists integrations with CRM/portfolio systems such as Salesforce and others.

Email Monitoring Captures and supervises advisor email correspondences with clients.		Email monitoring is a documented module in STAR Platform for advisor-client communications.
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		STAR lists support for text and instant messaging supervision (including platforms like Teams and Bloomberg).
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		Social media monitoring referenced in STAR documentation as supported communication medium.
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		Keyword and lexicon filtering (including policy-based detection) is a standard feature in STAR communication monitoring.
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Automated compliance reviews of communications are explicitly offered by STAR.
Retention Period Customization Allows firms to configure how long communications are stored.		undefined Retention periods are configurable by firm to meet regulatory demands, according to STAR documentation.
Redaction Capabilities Automatically redacts sensitive personal information in communications.		Redaction of sensitive information is a STAR capability for privacy compliance.
Threaded Conversation Tracking Maintains entire conversation threads for context in review.		Threaded conversation capture and context is included in STAR Platform for contextual review.
Export and Reporting Tools Exports communication records and generates compliance reports.		Export and reporting tools are emphasized as core platform capabilities.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		STAR offers real-time transaction monitoring (trade surveillance) among other modules.
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		Pattern detection and algorithmic monitoring against trade abuse are noted as STAR functions.
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		STAR supports pre-trade compliance (checks against rules before execution) as per product documentation.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		Exception reporting (post-trade) is a documented STAR feature.
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Automated alerting is provided for suspicious transaction and compliance events.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		Thresholds for exception rules and alerts are configurable by compliance teams in STAR.
Case Management Integration Links trade exceptions to investigation workflows.		STAR includes case management and investigation workflows connected to trade exceptions.
Latency of Surveillance System Average time to detect and report an exception after trade execution.		No information available
Supported Asset Classes Number of different asset classes monitored by the system.		undefined Multiple asset class monitoring is marketed as a STAR Platform feature.
Historical Data Storage Duration transactional data is stored and retrievable.		undefined Historical data storage and retrieval is configurable for audits and regulatory inquiries.

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		STAR allows for centralized electronic submission and tracking of outside business activity (OBA) disclosures.
Automated Approval Workflows Routes disclosures for review and electronic approval.		Automated approval workflows are referenced for OBA and other disclosures in the STAR workflow engine.
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		Conflict of interest checks are a documented purpose of the OBA and personal trading modules.
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		STAR sends automated notifications on disclosure changes and deadlines.
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries.		Integration with regulatory lists and databases is referenced as part of the platform's compliance controls.
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure.		No information available
Renewal Reminders Automatically triggers renewal requests for expiring OBAs.		Automated renewal reminders are built-in for OBA and similar recurring compliance items.
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		OBA history reporting capabilities are part of STAR's audit and reporting modules.
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow.		Supervisor commenting is an advertised feature in OBA and case workflows.
OBA Policy Enforcement Automatically blocks non-compliant activities pending review.		Non-compliant or unapproved activities can be frozen/pended by STAR workflows (policy enforcement).

Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository.		Centralized, searchable digital policy library is a standard STAR Platform capability.
Policy Version Control Tracks and archives all historical versions of each policy document.		Policy version tracking/control is provided to document history and changes.
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		Electronic policy acknowledgement workflows are available (with e-signature support).
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		STAR automates distribution and tracking of updated firm policies.
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies.		Policy effectiveness and review reminder tools are offered for policy administrators.
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams.		Quiz and certification modules are referenced for ensuring policy comprehension by staff.
Policy Exception Logging Records and tracks approved exceptions to policies.		Exception logging and management for policy deviations is an included process in STAR.
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		Expiring policies trigger auto-alert notifications in STAR.
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		Support for custom policy templates and adaptations is part of the STAR Platform administrator role.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		Direct regulation linking/mapping is promoted by STAR for audit and compliance reference.

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Custom alert rules are available to admins for varied event types across compliance modules.
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		STAR leverages ML for anomaly detection as part of its surveillance.
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		Alert prioritization and workflow triage are described in STAR's supervisor tools.
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues.		No information available
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria.		Escalation rules and approval paths are configurable for alert management.
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Notifications via multiple channels (email, in-app, SMS) are supported by STAR.
Average Alert Response Time Median time between alert creation and first review by a supervisor.		No information available
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review.		Full activity and alert audit logs are a compliance requirement and are present in STAR.
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts.		Alert suppression and tuning are available for lowering false positives.
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure.		Analytics dashboards for supervisors are highlighted in STAR's platform demos.

Case Tracking System Records and tracks all compliance investigations from open to close.		Case tracking and investigation history systems are shows as part of STAR's case management.
Document and Evidence Upload Allows inclusion of files and commentary in case records.		Evidence upload (including doc uploads, comments) included in STAR investigations/workflows.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		Task assignment and workflow breakdown features are available in STAR cases module.
Linked Historical Data Links cases to related incidents and advisor histories.		Platform links cases to historical data and advisory histories.
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		STAR features automated escalation if cases are unresolved.
Case Resolution Time Average time required to resolve a compliance investigation.		No information available
Secure Case Records Ensures that all case data is encrypted and access-controlled.		All case data is encrypted with access controls in STAR, as a matter of compliance best practice.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Case and document access is role-based matching compliance needs.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		Final case outcomes and decisions are captured in STAR.
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows.		STAR supports third-party/anonymous hotline integration for whistleblower workflows.

Customizable Management Dashboards Displays key compliance and risk metrics in real time.		STAR management dashboards visualize risk, alerts, exceptions and status in real time.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Scheduled report delivery by email/secure download is standard in STAR.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		On-demand reporting, with custom filters and parameters, is supported.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Standard regulatory reporting templates are available within STAR Platform.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data export in multiple formats is a STAR reporting feature.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down analytics from dashboard to underlying records is featured.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend and anomaly detection is built into dashboard analytics.
Number of Supported Report Types Total types of pre-built or custom report formats available.		No information available
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis.		Visualizations, graphs, and pivot analysis are available in STAR's analytics modules.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		Restriction of report access by user role is a compliance platform standard and present in STAR.

Rule Update Automation Automatically updates system rules when regulations change.		STAR can auto-update rules in response to regulatory updates.
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province.		Jurisdictional configuration is supported for international and regional compliance.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		STAR maps rules to different regulatory authorities, e.g., SEC, FCA.
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		Change management, controlled rollout, and testing of rule updates is described in STAR admin features.
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		Integration of regulatory feeds and update streams is a STAR capability.
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		Compliance rule changes are logged with timestamp and author in STAR Platform.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		User/system notification on rule changes is mentioned as part of STAR update feature.
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		STAR offers policy/rule localization for multi-language compliance communication.
Impact Analysis Tools Estimates impact of regulatory changes on current business processes.		No information available
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment.		No information available

Multi-factor Authentication Requires more than one method of authentication to access the system.		Multi-factor authentication is part of STAR's platform security design.
End-to-End Encryption Encrypts data both in transit and at rest.		Encryption at rest and in transit is a critical compliance/security requirement and is present in STAR.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access management is fundamental to STAR due to regulatory standards.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trails of access/changse are kept in STAR for forensics.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		STAR implements DLP controls to prevent unauthorized data exports.
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		STAR supports compliance with privacy laws (GDPR, CCPA) and adjusts workflows/rules as needed.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		Security incident and compliance incidents can be connected in STAR's module structure.
Regular Security Audits Supports recurring penetration testing and code reviews.		External and internal security audits (including penetration tests) are supported.
Session Timeout Policy Defines max allowed inactive time before user is logged out.		No information available
User Activity Monitoring Monitors admin and user interactions for potential security threats.		User activity monitoring for security and compliance is available.

STAR Platform from StarCompliance

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (7 Yes /7 Known /10 Possible features)

Client Communication Supervision (9 Yes /9 Known /10 Possible features)

Trade and Transaction Supervision (9 Yes /9 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (9 Yes /9 Known /10 Possible features)

Policy Management (10 Yes /10 Known /10 Possible features)

Surveillance & Alerting (8 Yes /8 Known /10 Possible features)

Case Management & Investigation Tools (9 Yes /9 Known /10 Possible features)

Reporting & Analytics (9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability (8 Yes /8 Known /10 Possible features)

System Security & Privacy Controls (9 Yes /9 Known /10 Possible features)