Simplify compliance with embedded rule-based logic, document tracking, and audit readiness into everyday workflows. From KYC and suitability to trade monitoring and e-signature capture, firms can reduce risk and stay regulator-ready without sacrificing efficiency.
Embedded Compliance
Workflows
Build compliance into daily advisor actions, onboarding, updates, trades, and withdrawals all with trigger appropriate checks automatically. This reduces manual steps, ensures timely reviews,and minimizes the risk of missed compliance tasks.
Real-Time
Audit Trails &
Activity Logs
Capture every action with time-stamped and recorded, creating a full audit trail for client interactions, document changes, and advisor workflows. Firms can generate reports for internal reviews or regulator requests in just a few clicks.
Configurable KYC & Suitability Monitoring
Enable firms to define and enforce KYC, risk, and suitability policies with configurable rules, alerts, and review cycles. Advisors are prompted to update key data when needed, ensuring information stays current and compliant over time.
Secure Document & E-Signature Compliance
Store all client documents with secure access controls, version tracking, and full e-signature capture. Compliance teams can verify document status and ensure retention policies are met all within the same platform.
