Embedded Compliance
Workflows
Build compliance into daily advisor actions, onboarding, updates, trades, and withdrawals, all with trigger-appropriate automatic checks.
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.
Real-Time Audit Trails & Activity Logs
Record and time-stamp every action to create a detailed audit trail for client interactions, document changes, and advisor workflows.
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.
