StarCompliance
StarCompliance, Inc. is a provider of web-based regulatory compliance software solutions tailored for the financial services industry. The company's platform addresses the management of employee conflicts of interest by offering a comprehensive suite of modules, including Personal Trading, Insider Trading, Gifts and Entertainment, Political Activity, Outside Activity, and Documents and Certifications. These tools enable firms to manage, detect, report, and resolve compliance issues effectively. StarCompliance focuses on global regulations such as SEC and FINRA, ensuring that its clients can navigate the complex regulatory landscape. The company is headquartered in Rockville, Maryland, with additional offices in New York, York, and London. It is privately owned and has been operational since 2000, maintaining ISO 9001 and ISO 27001 certifications. StarCompliance also offers implementation, training, and software support services, further enhancing its commitment to delivering effective compliance solutions to its clients.
Aer Compliance is a platform that streamlines and automates compliance tasks, particularly in the area of Code of Ethics compliance. It focuses on addressing critical issues such as insider trading, front-running, and conflicts of interest. The platform is designed for professionals in various sectors, including banking, consulting, and cryptocurrency, allowing them to trade liquid assets while adhering to employer compliance regulations. By automating internal processes, Aer Compliance helps firms reduce back office staffing needs and mitigate risks, while also enabling employees to save time and maintain their trading activities within compliance frameworks.
Ethix360, Inc. is a provider of compliance as a service software that focuses on employee ethics communication and case management. Founded in 2016 and based in Charlotte, North Carolina, Ethix360 offers a suite of solutions including CaseTrac, an enterprise-class risk management software, TrakEnterprise, an on-premises case management system, CSone, designed for educational institutions, and Reflections, an online exit interview platform. The company's software facilitates the identification, management, investigation, and resolution of workplace issues while ensuring adherence to corporate policies. Ethix360's solutions support multilingual input and are designed to meet the needs of diverse industries, including insurance, retail, healthcare, and education. Clients can deploy these programs to cater to a wide range of employee bases, from a few to over 500,000 individuals. Ethix360 aims to enhance corporate risk management through innovative technology that promotes ethical values and effective communication within organizations.
SixLambda, a compliance big data tool for regulated firms, monitors political giving of employees to insure they don't violate pay-to-play or campaign finance rules. We go beyond employee disclosure by collecting campaign finance activity from the FEC, State, and Local governments daily and reporting to clients if we suspect one of their employees made a donation.
Pentana Compliance is a provider of integrated software solutions focused on internal auditing, compliance, and risk management for regulated businesses. The platform addresses the challenges firms face under the Certification Regime by offering tools for performing risk assessments, managing audits, tracking issues, and delivering reports. Leveraging Ideagen's expertise in enterprise governance, Pentana enables organizations to gain visibility into current and emerging risks, ensuring compliance and preventing failures. The software connects business strategy to operational performance while facilitating stakeholder participation, thereby supporting ambitious governance objectives and enhancing overall operational effectiveness.
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