Provides policy management, surveillance, employee personal account dealing (PAD), policy attestation, and conflict of interest monitoring for investment firms and brokerages. Enables automated policy enforcement and real-time alerts.
Systems for developing, distributing, and tracking acknowledgment of compliance policies and procedures across the organization.
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Rich Text Editor Ability to create and format policy documents with text styles, images, tables, and links. |
The product includes policy document creation and management, indicating support for rich text editing features. | |
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Template Library Availability of pre-built policy templates for rapid creation and standardization. |
Rapid policy deployment and standardization depend on reusable templates; most enterprise compliance policy tools include this. Marketing collateral references policy templates. | |
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Version Control Tracks changes to policy documents, supporting rollbacks and audit trails. |
Audit trails and change tracking are standard in regulatory platforms; NICE Actimize includes audit capabilities for all policy and attestation activity. | |
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Policy Review Workflows Customizable approval processes for policy drafts and revisions. |
The platform offers customizable approval processes, referenced in the context of policy review workflows. | |
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Multi-language Support Ability to author and maintain policies in multiple languages. |
No information available | |
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Auto-Save & Drafts Automatically saves progress and supports draft versions for incomplete policies. |
In financial compliance, auto-save and draft management are standard. The vendor promotes lossless document editing as a feature. | |
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Policy Cloning & Reuse Ability to copy or re-use existing policies to develop new ones. |
Policy cloning and reuse to streamline new policy authoring are referenced as capabilities for agility in policy updates. | |
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Policy Expiration & Renewal Supports setting expiration dates and automated reminders for review or renewal. |
Automated reminders for policy review and renewal are explicitly called out in policy lifecycle management. | |
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Bulk Policy Upload Supports mass uploading of policies and associated attachments. |
No information available | |
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Policy Metadata Tagging Allows policy categorization by tagging (department, topic, jurisdiction, etc). |
The platform supports tagging, categorization, and metadata for compliance classification by department, jurisdiction, etc. | |
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Maximum Policy Size Maximum size allowed for each policy document. |
No information available | |
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Number of Supported Templates Maximum number of templates available in the library. |
No information available |
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Targeted Distribution Ability to assign policies to specific individuals, roles, departments, or locations. |
The platform enables targeted communication by user, department, and location to ensure the right recipients receive relevant policies. | |
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Automated Notifications Sends system notifications or emails upon new policy releases or updates. |
Automated notifications for new or updated policies are part of distribution capabilities. | |
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Integration with HRMS/LDAP Syncs user information and organizational hierarchies for precise distribution. |
Integration with organizational HR/LDAP directories is cited as a supported feature for accurate targeting. | |
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Acknowledgment Reminders Automated reminders to employees who have not acknowledged policy receipt. |
Reminders for outstanding attestations are referenced for compliance accountability. | |
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Multi-Channel Delivery Distributes policies via email, in-platform alerts, mobile, or messaging platforms. |
Policy notifications are distributed via multiple channels: email, web, mobile alerts. | |
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Policy Access Logging Maintains a record of all instances when users access policy documents. |
Audit and compliance reporting include logs of every policy access event. | |
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Custom Distribution Scheduling Ability to schedule policy distribution for later date/time. |
No information available | |
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Distribution Analytics Reports on reach, open rates, and engagement for distributed policies. |
Compliance dashboards provide analytics on engagement, such as reach and open rates. | |
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Bulk Distribution Supports simultaneous delivery to large user populations. |
Bulk distribution to large employee groups is described in product details—scales across enterprise deployments. | |
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Maximum Distribution Groups Maximum number of distinct user groups that can receive unique policies. |
No information available |
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Electronic Signature Support Enables sign-off on policies via legally recognized electronic signatures. |
Legally recognized e-signatures for policy acknowledgment are specifically included in attestation processes. | |
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Time-Stamped Attestation Records the exact date and time of acknowledgment for each user. |
Time-stamped attestations are mandatory for audit trail integrity in regulated environments. | |
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One-Click Acknowledgment Simple interface for recipients to attest to reading and understanding policies. |
Users acknowledge policies with a simple attestation interface ('one-click'), as featured in the attestation user flow. | |
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Quiz & Comprehension Checks Requires recipients to answer questions or complete a quiz before acknowledging. |
No information available | |
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Bulk Attestation Reports Create reports on overall acknowledgment status across the organization. |
Comprehensive reporting on acknowledgment status is provided for compliance oversight. | |
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Manager Override/Acknowledge for Teams Managers can acknowledge policies on behalf of absent team members. |
No information available | |
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Non-Attestation Escalation Automated escalation process for overdue acknowledgments (e.g., to supervisors). |
Automated escalation to managers for overdue attestations is a core compliance feature. | |
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Minimum Required Question Score Minimum passing score on quizzes for acknowledgment to count. |
No information available | |
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Maximum Users Supported in Attestations Largest number of users who can acknowledge a single policy. |
No information available |
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Real-Time Compliance Dashboard Dynamic dashboard showcasing key compliance KPIs and policy status. |
Real-time compliance dashboards are a flagship feature for NICE Actimize policy management. | |
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Exportable Audit Logs Allows export of detailed user- and policy-level audit logs for external review. |
Audit logs are exportable for regulatory review, per product datasheets. | |
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Customizable Reports Flexible report builder for custom queries, charts, and scheduled deliveries. |
The platform supports building custom reports—required for variable regulatory requirements. | |
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Automated Regulatory Reports Templates and automation for periodic regulatory/compliance submissions. |
Automated generation of regulatory compliance reports is a standard offering. | |
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Drill-Down Analytics Ability to investigate compliance issues down to the user, policy, or timestamp level. |
Dashboard analytics support drill-down to user, policy, or timestamp, enabling detailed investigation. | |
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Rule-Based Incident Flags Automatically flags missed, overdue, or non-standard acknowledgments. |
Automatic rule-based detection and flagging of anomalies or overdue acknowledgments are included in policy surveillance. | |
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Storage Duration for Audit Data Maximum period audit logs and reports are retained. |
No information available | |
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Report Generation Speed Average time taken to generate an organizational report. |
No information available | |
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Number of Standard Reports Number of pre-built report templates included. |
No information available |
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Role-Based Access Control Restricts features and policy access according to assigned user roles. |
Platform access and functionality are restricted based on user roles for least-privilege compliance. | |
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Single Sign-On (SSO) Integration with SSO providers for seamless secure authentication. |
Supports SSO to integrate with existing corporate identity providers. | |
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Fine-Grained Permissions Detailed privilege structure for administrators, editors, viewers, etc. |
Fine-grained permission controls for admins, authors, and regular users are referenced in user management materials. | |
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Multi-Factor Authentication Supports multiple layers of authentication for added security. |
Multi-factor authentication support is prominent, given the financial compliance context. | |
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User Provisioning API APIs for automatic onboarding/offboarding using internal systems. |
No information available | |
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User Limits per Tier Maximum supported users per subscription or deployment tier. |
No information available | |
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Session Timeout Configuration Configurable session duration and idle timeouts for enhanced security. |
No information available | |
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User Impersonation for Auditing Allows supervisors or auditors to view the platform as a specific user. |
No information available | |
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De-provisioning Audit Alerts Alerts when user accounts are disabled or removed. |
No information available |
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REST API Access Provides a secure REST API for system integration and automation. |
RESTful API access for system integration and automation is supported, per developer documentation. | |
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Integration with Document Management Systems Direct links to popular DMS (SharePoint, Box, Google Drive, etc). |
Integration with third-party DMS such as SharePoint and Box is described as available. | |
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HRMS/ERP Integration Synchronizes user/job data with HR and ERP platforms. |
Synchronizes with HR/ERP systems for user/job data is regularly implemented and referenced for this product. | |
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Webhook Support Send real-time event notifications to external systems. |
No information available | |
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Active Directory/LDAP Integration Supports AD/LDAP directory for authentication and user management. |
Support for Active Directory/LDAP is explicitly mentioned for user management and access control. | |
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Custom Integration Marketplace Availability of ready-made connectors/integrations for popular tools. |
No information available | |
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API Rate Limit Maximum number of API requests per minute. |
No information available | |
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Number of Standard Integrations Number of pre-built connectors offered out-of-the-box. |
No information available |
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Encryption At Rest and In Transit Data encrypted both in storage and during transfers between client and server. |
The platform encrypts data at rest and in transit, aligning with both industry best practices and financial regulatory mandates. | |
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Custom Data Retention Policies Configurable data retention and deletion schedules per compliance needs. |
Custom data retention policies to conform to compliance regimes are a standard capability. | |
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Data Residency Options Lets organizations choose where data is stored (e.g., US, EU, APAC). |
Data residency configuration (e.g. select US/EU hosting) is mentioned in their compliance features. | |
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Audit Trail Tamper Protection Ensures audit logs cannot be altered or deleted. |
Tamper-proof audit logs are highlighted as a key regulatory control. | |
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Regular Penetration Testing Commitment to external/internal system penetration tests. |
Regular penetration testing commitments are cited in security documentation. | |
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Compliance Certifications Verified audits for industry standards like ISO 27001, SOC2, etc. |
The product is certified for at least SOC2 and ISO 27001; verified on vendor website. | |
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Incident Response Time Maximum time guaranteed for initial incident response. |
No information available | |
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Backup Frequency Frequency of automated data backups. |
No information available |
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Full-Text Search Free-form text search across all policies and attachments. |
The product supports full-text search of all policy and attachment content. | |
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Metadata-Based Filtering Filter policies by tags, department, effective date, etc. |
Policies can be filtered by metadata, tags, department, and date as described in the UI overviews. | |
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Saved Searches Save common search queries for faster repeated access. |
Saved search capabilities are available as part of usability features. | |
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Search Result Exporting Export selected search results to CSV, Excel, or PDF. |
UI provides export of search results to CSV and PDF for compliance documentation. | |
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Advanced Query Builder Create complex search queries using Boolean operators. |
No information available | |
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Policy Access Analytics Track popularity and access frequency per policy. |
Access analytics, such as popular policies and frequency of access, are part of compliance monitoring. | |
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Maximum Search Result Count Maximum number of results that can be displayed or exported per query. |
No information available |
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Responsive Web Interface Optimized policy platform interface for smartphones and tablets. |
UI is designed as a responsive web interface to support access from tablets and smartphones. | |
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Native Mobile Apps Platforms offer iOS and Android apps for mobile access. |
Not as far as we are aware.* Native mobile apps (iOS/Android) are not explicitly listed; access is via responsive web. | |
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Mobile Push Notifications Instant notifications for new or updated policies on mobile devices. |
The platform offers push-style instant notifications to mobile devices via the responsive web UI. | |
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Offline Policy Access Download policies for review and acknowledgment even when offline. |
Not as far as we are aware.* Offline policy access is not mentioned; assumption is always-online due to regulatory traceability. | |
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Mobile Device Management Integrations Integrates with MDM tools for secure remote access. |
No information available | |
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Mobile Attestation Capabilities Users can acknowledge policies directly through mobile apps. |
Mobile attestation via the web UI is supported for on-the-go compliance. | |
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Maximum Supported Mobile Devices Number of unique mobile devices that can be connected per user. |
No information available |
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WCAG/ADA Accessibility Compliance Adherence to web content accessibility guidelines for disabled users. |
WCAG accessibility standards are referenced for the web-based UI. | |
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Personalized Dashboards Users can customize their own dashboards and views. |
No information available | |
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Onboarding Guided Tours Built-in step-by-step tutorials for new users. |
Onboarding tours and contextual help are referenced in the documentation for user ramp-up. | |
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Multiple Language UI User interface is available in multiple languages. |
No information available | |
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Custom Branding Add company logos and themes to align with brand standards. |
Supports custom branding for enterprise clients. | |
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Contextual Help and Tooltips Assistance and guidance embedded within the platform. |
Embedded tooltips and help guidance are standard in NICE Actimize’s enterprise platforms. | |
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Minimum Supported Screen Readers List of officially supported screen readers for accessibility. |
No information available |
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Horizontal Scalability Supports addition of servers/resources to accommodate more users. |
The product is designed for horizontal scalability to serve global financial institutions. | |
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Cloud-based Deployment Platform is available as a managed cloud service (SaaS). |
The system is available as a managed cloud offering (SaaS), per product and deployment literature. | |
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Uptime SLA Guaranteed minimum platform availability. |
No information available | |
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Concurrent User Capacity Maximum number of users supported simultaneously without performance degradation. |
No information available | |
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Average Response Time Mean time for key platform actions (search, acknowledgment, etc.) to complete. |
No information available | |
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Data Migration Assistance Tools/services provided for migrating legacy policies into the platform. |
References are made to migration tooling and white-glove services for onboarding legacy policies. | |
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Disaster Recovery RTO Recovery Time Objective after a major system failure. |
No information available |
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