STAR COMPLIANCE

Owners

Goods & Services

recorded computer software for enabling electronic transmission, over internal computer networks and the internet, of position holdings, pre-clearances and reconciliations with rules, notifications and reports, in order 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

Providing use of on-line non-downloadable computer software for enabling electronic transmission, over internal computer networks and the internet, of position holdings, pre-clearances and reconciliations with rules, notifications and reports, in order 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; providing online non-downloadable computer software for enabling electronic transmission, over internal computer networks and the internet, of position holdings, pre-clearances and reconciliations with rules, notifications and reports, in order 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