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.
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
Acquisition in 2023
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.
Six Lambda
Acquisition in 2021
Six Lambda is a compliance big data tool focused on assisting regulated firms in monitoring political contributions made by their employees. The company collects campaign finance activity from federal, state, and local governments on a daily basis to ensure compliance with pay-to-play and campaign finance regulations. By providing comprehensive insights into political giving, Six Lambda helps organizations identify potential violations and avoid penalties. Its software includes application programming interfaces and features such as two-factor authentication and efficient workflow tools, enhancing the capabilities of compliance officers. This proactive approach to political contribution surveillance aids clients in verifying employee donations and mitigating the risks associated with non-compliance.
Pentana
Acquisition in 2021
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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