Purpose-built compliance platform for modern collaboration tools including Zoom, Microsoft Teams, Webex, and Slack. Provides risk detection for video, voice, chat, and document content. Features include AI-based policy detection, automated risk scoring, and integrated archiving capabilities.
Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
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Email Monitoring Ability to capture and analyze email correspondence for compliance risks. |
Theta Lake Compliance Suite supports email monitoring as part of its integrated surveillance of electronic communications (per product literature). | |
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Instant Messaging/Chat Monitoring Captures messages from chat platforms (e.g., Bloomberg, Teams, Slack) for surveillance. |
Product explicitly advertises coverage for chat platforms such as Microsoft Teams, Slack, and Webex. | |
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Voice Surveillance Monitors recorded voice calls for keywords or risk indicators. |
Risk detection is offered for voice and video calls on platforms like Zoom and Teams; voice surveillance is included. | |
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Social Media Surveillance Captures relevant external and internal social media posts. |
Theta Lake advertises social media and collaboration channel coverage, including capture of external/internal social posts. | |
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Mobile Device Coverage Ability to monitor communications across mobile devices. |
Supports mobile device coverage by virtue of monitoring mobile app communications and content. | |
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Text Message (SMS) Monitoring Surveillance of SMS and other direct messaging platforms. |
SMS and direct message surveillance is supported, as per marketing and technical documentation. | |
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Application Support Number of distinct communication applications supported for monitoring. |
No information available | |
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Real-time Monitoring Capability Enables live or near-real-time capture and analysis of communication data. |
Real-time risk detection and monitoring stated in product documentation. | |
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Historic Data Import Supports ingestion of historic communication data for analysis. |
Historic data import for retroactive surveillance and compliance is listed as a feature. | |
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Multilingual Coverage Ability to monitor and analyze communications in multiple languages. |
Multilingual transcript analysis capabilties indicated in AI/ML coverage for various languages. | |
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Attachment Analysis Analyzes file attachments for potential violations. |
Attachment/file content analysis for policy/classification violations is explicitly advertised. | |
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Encrypted Channel Monitoring Captures and analyzes messages from encrypted channels. |
Encrypted channel monitoring such as Zoom E2EE and Teams stated as supported. |
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Keyword/Keyphrase Detection Pre-defined and customizable word lists to flag suspicious content. |
AI/ML policy detection includes keyword/keyphrase lists that are customizable. | |
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Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications. |
AI-based policy detection and context analysis infers NLP technology is employed. | |
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Behavioral Pattern Analysis Detects unusual user behavior or communication patterns. |
Behavioral pattern recognition referenced in context-aware risk analysis material. | |
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Machine Learning (ML) Algorithms Leverages ML to enhance detection accuracy and reduce false positives. |
Leverages machine learning for content/risk recognition. | |
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Risk Scoring Assigns risk scores to incidents/messages for prioritization. |
Automated risk scoring is a core advertized capability. | |
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Custom Rule Creation Allows users to define and adapt detection rules. |
Custom detection rules are available for client policy requirements. | |
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False Positive Reduction Rate Capability of the system to decrease the rate of false positives. |
No information available | |
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Regulatory Lexicon Library Library of language and keywords for specific regulations (e.g., FINRA, SEC). |
Regulatory lexicons for financial regulations referenced in documentation. | |
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Sensitive Data Detection Flags personal, confidential or proprietary information. |
Sensitive data detection (like PII/PCI) forms part of risk/policy detection. | |
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Data Visualization Provides interactive graphics for incident trends, user activity, etc. |
Interactive dashboards and graphical reporting are part of the suite. | |
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Frequency of Analytics Updates How often analytics algorithms/models are updated to adapt to new threats. |
No information available |
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Real-time Alerting Immediate flagging and notification of detected risks or violations. |
Real-time risk alerts and notifications are highlighted features. | |
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Alert Prioritization System assigns levels (e.g., high/medium/low) to alerts. |
Alerts prioritized by risk, severity and policy type. | |
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Customizable Workflow Supports tailoring of review/investigation workflow steps. |
Workflows are customizable for each firm's review/escalation process. | |
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Case Management Integration Enables creation and tracking of cases linked to alerts. |
Integrated case management and case assignment is a documented capability. | |
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Audit Trail Full logging of actions and changes for regulatory evidence. |
Audit trails are maintained for all actions taken within the product. | |
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Reviewer Assignment Automation Automatically assigns alerts or cases to reviewers based on rules. |
Reviewer assignment automation available via smart workflow. | |
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Alert Suppression/Filtering Ability to filter or suppress false/low-priority alerts. |
Alert filtering and suppression configurable as part of noise reduction. | |
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Escalation Protocols Configurable escalation rules and hierarchies for unresolved cases. |
Escalation workflows and rules for unresolved cases described in compliance workflows. | |
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Reviewer Collaboration Tools Enables teams to work together on case investigations. |
Reviewer collaboration and communication tools available (multi-reviewer case management). | |
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Notifications & Reminders Automated email or in-app reminders for outstanding cases. |
Notifications and reminders by email/in-app are features in case management. | |
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SLA Management Monitors and enforces service-level agreement timelines for investigations. |
No information available |
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Multi-jurisdictional Rules Support Addresses regulatory requirements in multiple global jurisdictions. |
Product can be configured for compliance in various global regulatory contexts. | |
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Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc). |
Pre-built detection rules for FINRA, SEC, FCA and more included. | |
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Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs. |
Compliance program frameworks are customizable per customer. | |
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Retention Policy Management Implements and ensures compliance with data retention/archiving rules. |
Retention management for data and policy-driven archive periods stated in documentation. | |
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Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services. |
SOC 2, GDPR and other compliance certifications listed on the public website. | |
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Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings. |
Automated reporting for regulatory reviews and audits is part of the reporting feature set. | |
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Redaction Tools Redacts sensitive data in exported or shared communications. |
Redaction tools are included for data exports, in line with privacy requirements. | |
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Supervisory Review Support Tools to monitor adherence to supervisory review processes. |
Supervisory review process tracking tools included for compliance management. | |
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Legal Hold Management Supports the ability to preserve data for future litigation as required. |
Legal hold functionality for litigation readiness documented as a compliance feature. | |
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Breach Notification Support Helps organizations notify affected parties of regulatory breaches within mandated timelines. |
No information available | |
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Retention Period Length Maximum length for which data can be retained for compliance. |
No information available |
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Data Ingestion Speed Rate at which new communication records can be ingested and indexed. |
No information available | |
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Storage Scalability Ability to handle growing volumes of communications data. |
undefined Platform designed for cloud scale; storage scalability for collaboration content is highlighted. |
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Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc). |
Data can be exported in PDF, CSV, and other formats. | |
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APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms. |
Comprehensive public API and integration capabilities shown in developer documentation. | |
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SIEM Integration Connects to Security Information and Event Management systems. |
SIEM integration and security event forwarding included. | |
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Third-party Data Source Integration Connects and correlates data from external vendors or sources. |
Integration with third-party data and source feeds for compliance context noted. | |
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Custom Data Connectors Enables creation of connectors for proprietary sources. |
Ability to build proprietary data connectors available as a service option. | |
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Database Support Supports multiple types of databases (SQL, NoSQL, cloud-based, etc.). |
Supports multiple underlying DB/data models required for scale. | |
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Search Performance Time to retrieve results for complex queries over stored communications. |
No information available | |
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Data De-duplication Removes duplicate messages to conserve storage and reduce noise. |
Built-in de-duplication as part of file and message ingestion. | |
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Metadata Enrichment Adds useful metadata (e.g. sender, recipient, channel, time) for search and analytics. |
Metadata enrichment (sender, recipient, channel, timestamps) present as per documentation. |
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Role-based Access Control (RBAC) Allows granular assignment of permissions based on role. |
Granular permissions (RBAC) for users, supervisors, and compliance staff. | |
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Single Sign-On (SSO) Supports integration with enterprise SSO solutions. |
Supports SSO integration for access control. | |
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Multi-factor Authentication (MFA) Requires multi-factor authentication for access. |
Multi-factor authentication option provided as standard. | |
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User Interface Customization Enables customization of UI elements and workflows. |
User interface allows customization for workflow and branding. | |
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Search Functionality Advanced and intuitive search/filtering for investigators. |
Advanced and intuitive search capabilities referenced in user materials. | |
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Bulk Actions Ability to perform actions on multiple records/cases simultaneously. |
No information available | |
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Localization User interface available in multiple languages. |
Platform localizable for multiple languages (user interface). | |
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Accessibility Compliance Meets accessibility standards (e.g., WCAG, ADA) for users with disabilities. |
Meets digital accessibility standards, per documentation. | |
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Number of Concurrent Users Supported Maximum number of users supported simultaneously without performance degradation. |
No information available | |
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Configurable User Roles System allows administrators to define custom roles. |
Configurable user roles and permissions supported. | |
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Audit Access Reporting Logs and reports on user activity and access history. |
Audit access and reporting tools included for compliance review. |
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Encryption In-Transit All communications data is encrypted during transmission. |
Data encrypted in transit using modern encryption. | |
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Encryption At-Rest Stored data is encrypted to protect against unauthorized access. |
Data encrypted at rest as per SOC 2/ISO 27001 requirements. | |
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Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications. |
DLP policies enforced for monitored channels. | |
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Intrusion Detection Monitors the system for unauthorized access attempts or suspicious activity. |
Intrusion detection and security monitoring as part of managed cloud infrastructure. | |
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Regular Security Audits Periodic third-party or internal security assessments performed. |
No information available | |
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Granular Permission Controls Allows detailed definition of permissions at user or group level. |
Granular permission controls implemented in user management. | |
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Anomaly Detection Automated detection of unusual access or usage patterns. |
Anomaly detection tools operate on access and usage patterns. | |
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IP Whitelisting/Blacklisting Restricts or allows system access based on IP addresses. |
No information available | |
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Disaster Recovery/Backup Systems Ensures protection and recovery of data in case of system failure. |
Backup/disaster recovery measures referenced in SOC 2 documentation. | |
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Security Patch Frequency Regular cadence for applying security patches and updates. |
No information available | |
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User Activity Monitoring Continuously tracks and logs all significant user actions. |
User and admin activities monitored and logged. |
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Cloud Deployment Supports hosting in public or private cloud environments. |
Cloud-first platform (AWS, Azure, or public cloud). | |
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On-premises Deployment Allows fully onsite installation and management. |
On-premises deployment option also available as a deployment model. | |
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Hybrid Deployment Supports mixed cloud and on-premises configurations. |
Hybrid deployment mentioned as an option for regulated entities. | |
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Elastic Scalability Capacity to scale up/down seamlessly with changes in data volume or users. |
Elastic scalability is a design feature for cloud and enterprise customers. | |
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High Availability/Failover Built-in redundancy to minimize downtime and data loss. |
High availability and failover built into SaaS platform architecture. | |
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Multi-tenant Support Ability to support multiple independent business units or organizations on a single platform. |
Multi-tenant support for enterprises and resellers confirmed. | |
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Zero Downtime Upgrades Perform updates and upgrades without service interruption. |
No information available | |
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Deployment Time Typical time to deploy solution from contract signing. |
No information available | |
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System Uptime SLA Guaranteed system availability as specified in SLA. |
No information available | |
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Resource Monitoring Continuous monitoring of system resources and health. |
System and resource monitoring available to admins. | |
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Concurrent Process Handling Maximum number of concurrent data ingestion, processing or analytics tasks. |
No information available |
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Custom Report Builder Allows creation of user-defined reports on all surveillance data. |
User-defined custom reports are supported. | |
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Scheduled Reporting Supports automated, recurring report generation and delivery. |
Scheduled reporting available via dashboards and export tools. | |
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Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits. |
Comprehensive audit logging shown in compliance and admin dashboards. | |
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Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests. |
Data extraction for audits is a feature for compliance officers. | |
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Export Formats Supported Number of different formats available for data export (PDF, CSV, etc). |
No information available | |
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Drill-down Analytics Ability to explore details of flagged incidents/cases/reports. |
Drill-down analytics available for flagged incidents and cases. | |
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Access Logging Tracks all readings and exports of records. |
Access logging for record viewing and exporting included. | |
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Report Delivery Channels Multiple ways to send/deliver reports (email, dashboard, API, etc). |
Multiple report delivery channels: email, dashboard/download, and API. | |
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Regulatory Reconciliation Verifies reporting completeness and accuracy against regulatory requirements. |
Regulatory reconciliation reporting referenced in compliance reporting literature. | |
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Alert Disposition Metrics Tracks status/outcome of all alerts for performance measurement. |
Alert disposition (resolution and performance) metrics available in reporting suites. | |
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Reviewer Performance Reporting Reports on productivity and consistency of review teams. |
Reviewer productivity/performance reporting tools included. |
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24/7 Customer Support Availability of round-the-clock technical assistance. |
24/7 support is available for enterprise customers per vendor support page. | |
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Service Level Agreements (SLA) Well-defined SLAs for uptime, response, and issue resolution. |
SLAs for uptime, response and support are described. | |
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Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials. |
Comprehensive documentation in knowledgebase. | |
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Training/Onboarding Services Vendor provides training programs for customer teams. |
Customer training and onboarding services described. | |
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Dedicated Account Manager Assignment of an account manager for ongoing relationship support. |
Dedicated account managers assigned for mid-large enterprise customers. | |
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Patch/Update Notification Alerts users to upcoming or recent system changes. |
Patch/update notifications part of release notes/support protocol. | |
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Named User Support Offers support for specific, named contacts at customer firms. |
No information available | |
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Bug Fix Response Time Average time to acknowledge and resolve critical bugs. |
No information available | |
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Customization Services Vendor can develop custom features according to client needs. |
Customization/feature extension services offered to enterprise clients. | |
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Community/Forum Access Customers can share best practices and ask questions in a user community. |
Community/forum access for product users and compliance teams. |
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Modular Pricing Allows purchase of individual feature sets rather than one-size-fits-all. |
No information available | |
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Capacity-based Pricing Pricing scales with data volume, users, or alerts monitored. |
Capacity-based pricing depending on volume/users is stated in product FAQ. | |
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Total Cost of Ownership Estimator Provides tools to estimate annual costs including all fees. |
No information available | |
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Transparent Billing Billing statements break down all charges by feature/use. |
Billing includes breakdowns by features and usage per account documentation. | |
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Trial or Pilot Options Offers low-risk pilots or trials before purchase. |
Pilot/trial evaluations available for prospective customers. | |
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Support Included in Base Price Customer support costs are included in base contract. |
Base contract includes technical support for license holders. | |
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Upgrade Fees Policy Clear disclosure/structure of fees for upgrades or new features. |
Upgrade fees and new feature costs clearly disclosed in contract. | |
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Contract Duration Flexibility Variety of contract lengths available without penalties. |
Range of contract terms; flexibility for annual and multi-year contracts. | |
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Discounts for Multi-year Commitments Offers reduced rates for longer agreements. |
Discounts for multi-year agreements available. | |
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Predictable Annual Increases Stated percentage or cap on annual rate increases. |
No information available |
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