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.
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
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.
Automated
updates
Configurable workflows let you automate tasks, such as KYC information updates, and more.
Trade review and
IPS oversight
Pre- and post-trade reviews, as well as ongoing, real-time monitoring of client portfolios and accounts help ensure compliance.
