STAR COMPLIANCE

Computer software to enable financial institutions, investment advisors, mutual funds and others to monitor and enforce compliance with securities laws and internal and external rules and regulations governing licensing and registration, incident and policy management, training and competency, individual accountability, and personal trading by employees and affiliated individuals, by enabling electronic transmission of position holdings, pre-clearances and reconciliations with rules, notifications and reports, over internal computer networks and/or the Internet; and providing a computer database in the field of compliance with securities laws and regulations, to enable financial institutions, investment advisors, mutual funds and others to monitor and enforce compliance with securities laws and internal and external rules and regulations governing firm trading, featuring information regarding position holdings, pre-clearances, material non-public information, restricted lists, reconciliations with rules, notifications, and reports, over internal computer networks and/or the Internet

Providing use of on-line non-downloadable computer software to enable financial institutions, investment advisors, mutual funds and others to monitor and enforce compliance with securities laws and internal and external rules and regulations governing licensing and registration, incident and policy management, training and competency, individual accountability, and personal trading by employees and affiliated individuals, by enabling electronic transmission of position holdings, pre-clearances and reconciliations with rules, notifications, and reports, over internal computer networks and/or the Internet; and providing an on-line computer database in the field of compliance with securities laws and regulations, to enable financial institutions, investment advisors, mutual funds and others to monitor and enforce compliance with securities laws and internal and external rules and regulations governing firm trading by organizations, featuring information regarding position holdings, pre-clearances, material non-public information, restricted lists and reconciliations with rules, notifications, and reports, over internal computer networks and/or the Internet