StarCompliance
StarCompliance, Inc. is a provider of web-based regulatory compliance software solutions tailored for the financial services industry. The company's platform is designed to manage and mitigate employee conflicts of interest, ensuring compliance with global regulations such as SEC, FINRA, and MiFID. StarCompliance offers a comprehensive suite of modules that facilitate various compliance functions, including personal trading, insider trading analysis, gifts and entertainment requests, political activity oversight, and disclosure of outside business activities. The software also includes tools for document management and reporting, enabling firms to create detailed compliance performance reports. Headquartered in Rockville, Maryland, with additional offices in the United Kingdom and New York, StarCompliance has been in operation since 2000 and is committed to adapting its solutions to the evolving regulatory landscape. The company maintains ISO 9001 and ISO 27001 certifications and collaborates with strategic partners to enhance its service offerings.
Top Stages
4 past transactions
Aer Compliance
Acquisition in 2024
Aer Compliance is an innovative platform that specializes in automating compliance tasks with a particular emphasis on Code of Ethics compliance. It develops an employee trade compliance system aimed at preventing insider trading, front-running, and conflicts of interest. The platform is designed for professionals such as bankers, consultants, and those in the cryptocurrency sector, enabling them to trade liquid assets in accordance with their employers' compliance requirements. By streamlining internal processes, Aer Compliance helps firms reduce back-office staff needs and mitigate risks, while also allowing employees to manage their trading activities more efficiently and safely.
Ethix360
Acquisition in 2023
ETHIX360, Inc. is a compliance software provider based in Charlotte, North Carolina, founded in 2016. The company specializes in offering compliance as a service (CaaS) solutions that help organizations identify, manage, investigate, and resolve ethical issues. Its flagship product, CaseTrac, is designed to minimize reputational damage and financial liabilities by facilitating the reporting of concerns and conducting workplace investigations. ETHIX360 also offers a range of other tools, including TrakEnterprise for on-premises case management, CSone for educational institutions, and Reflections for online exit interviews. The company’s solutions are adaptable to various organizational processes and support a diverse global clientele across industries such as insurance, technology, and healthcare. By leveraging advanced technologies and real-time data analysis, ETHIX360 enables organizations to maintain compliance with their internal policies while promoting ethical workplace behavior.
Six Lambda
Acquisition in 2021
Six Lambda is a compliance-focused data analytics company that specializes in monitoring political contributions for regulated firms. Its software is designed to assist compliance officers by tracking employee political donations and ensuring adherence to pay-to-play and campaign finance regulations. The company collects and analyzes campaign finance data from federal, state, and local sources on a daily basis, alerting clients when potential violations occur. Six Lambda offers application programming interfaces and workflow tools that enhance the efficiency of political contribution surveillance, thereby helping organizations mitigate the risks of fines and penalties associated with non-compliance.
Pentana
Acquisition in 2021
Pentana Compliance is a software provider specializing in internal audit, compliance, and risk management solutions. The company's offerings are designed to help regulated businesses effectively manage risks and ensure compliance with industry standards. By leveraging advanced technology, Pentana enables audit teams to gain visibility into current and emerging risks across the organization, facilitating informed decision-making that aligns business strategy with operational performance. The software supports various functions, including performing risk assessments, managing audits, tracking issues, and delivering comprehensive reports, thereby addressing the challenges firms face under the Certification Regime. Pentana's solutions aim to enhance organizational governance and operational efficiency while promoting transparency and stakeholder engagement.
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