An advanced compliance suite

STAR ISC Market Abuse

STAR ISC Market Abuse is a business solution dedicated to the detection, analysis and reporting of market abuses for Compliance and Internal Control Managers and Investment Services Managers. The solution enables them to understand the associated regulatory risks and thus constitutes a valuable tool for managing their activities.

STAR ISC Market Abuse is dedicated to all financial institutions and is based on the regulations and French, European and international standards for market abuses, including the Directive 2003/6/EC of January 28, 2003 on market abuses and its implementing regulations as well as in France, the AMAFI-FBF May 2012 Guide on the implementation of procedures for reporting suspected market abuses.

STAR ISC Market Abuse is a solution:

Business oriented: business users can set up the application and easily create new rules
Robust: based on the latest technologies and market standards, the solution is also equipped with an integrated data repository
Scalable: based on STAR ISC technology platform, the solution enables the evolution of features in order to support future needs
User- friendly: designed by business specialists, the solution is easy to use thanks to its intuitive user interfaces.

The solution

STAR ISC Market Abuse automates the compliance control of all transactions on financial instruments via the dynamic generation of alerts. The rules setting features can have them evolve and be created according to internal methodologies and regulatory requirements. Thanks to a powerful repository, the solution seamlessly centralizes data from different source systems. It can also generate operations and decision making reports as well as reports of the anomalies detected through the access to the transaction traceability.

STAR Market Abuse ISC offers financial institutions the ability to:

Control their risk of : regulatory infringement, reputation, customers breach in confidence, market integrity
Address the obligation of means issue with a unique tool
Prevent sanctions and their financial consequences and address the image risks
Increase productivity by automating and tracking controls
Submit the commercial benefits of security to their clients
Improve governance and implement an appropriate strategy for managing the risk of non-compliance

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Stakeholders

STAR Investment Services Compliance (ISC) is for various stakeholders: brokers, corporate portfolio management, UCITS depositaries, commercial banking, private banking, investment banking etc.

Its various modules dedicated to different issues and referring to various regulations enable to manage the risks of non-compliance related to investment services on financial instruments such as receiving and transmitting orders for third parties, the execution of orders on behalf of third parties, proprietary trading, portfolio management for third parties, underwriting, placement, account management – conservation, compensation etc.