Digital identity-based compliance platform with KYC/AML capabilities including identity verification, transaction monitoring, sanctions screening, case management, and regulatory reporting tailored for brokerage firms and capital markets participants.
Systems for screening clients against watchlists, monitoring transactions for suspicious activity, and maintaining regulatory compliance documentation.
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Identity Document Verification Ability to verify government-issued identity documents (passports, national IDs, etc.) electronically. |
Platform specifically advertises government-issued identity document verification as part of its KYC process. | |
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Facial Recognition/Matching Matches client-provided photos with ID documents using facial recognition technology. |
Platform mentions biometric facial recognition for verifying user identity against submitted documents. | |
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Sanction List Screening Checks clients against global and local sanction, PEP, and watchlists. |
Includes global and local sanctions, PEP, and watchlist screening in onboarding and ongoing monitoring. | |
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Adverse Media Screening Searches for negative news related to clients using media and public data sources. |
Adverse media screening is listed as part of risk and reputation checks in the product description. | |
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Ongoing Customer Monitoring Continuously screens existing clients for changes in status or newly published risks. |
Ongoing monitoring of clients for status and risk changes is a highlighted feature of the platform. | |
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Risk Scoring Engine Assigns dynamic risk scores to clients based on risk factors and behaviors. |
Dynamic client risk scoring is a core part of IdentityMind's compliance engine. | |
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Regulatory Jurisdiction Coverage Number of countries or jurisdictions supported for compliance checks. |
No information available | |
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Language Support Number of languages supported for global client onboarding and screening. |
No information available | |
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Enhanced Due Diligence Handling Supports additional data collection and review for high risk clients. |
Enhanced Due Diligence workflows for high-risk clients are explicitly documented. | |
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Batch Processing Capability Ability to process multiple client screenings at once. |
No information available | |
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Customizable Screening Criteria Allows modification of threshold and parameters for screening rules. |
Screening parameters and rules can be tailored by administrators as advertised in product documentation. |
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Real-Time Transaction Monitoring Automatically scans transactions for suspicious patterns as they occur. |
Real-time monitoring of transactions for suspicious activity is a foundational feature of the platform. | |
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Behavioral Pattern Detection Uses profiling and analytics to detect unusual or unexpected patterns. |
Behavioral analytics and pattern detection are mentioned as integral parts of the transaction monitoring engine. | |
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Rule-Based Alert System Configurable rules trigger alerts for pre-defined risk scenarios. |
Configurable rule-based alerting for various risk events is available and documented. | |
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Machine Learning/AI Analytics Employs AI models to detect previously unknown or emerging risks. |
AI/ML-based analytics for identifying new risks and learning over time are included with the platform. | |
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Alert Prioritization Ranks alerts based on severity and risk relevance for efficient case handling. |
Alerts are ranked by severity and risk, as detailed under case management features. | |
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False Positive Management System features to reduce unnecessary alerts and streamline review. |
False positive reduction tools advertised as a key benefit for compliance operations. | |
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Volume Handling Capacity Maximum number of transactions monitored per second. |
No information available | |
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Integration with Trade/Order Systems Direct connection to brokerage trade/order platforms for seamless monitoring. |
Integration with trading/order systems is supported, particularly for brokerage and capital markets. | |
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Peer Group Analysis Compares client behavior against similar client group averages. |
Peer group analysis and comparative analytics are part of the transaction risk assessment suite. | |
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Historical Data Analysis Supports backtesting and review of historical transactions for compliance audits. |
Historical data review and backtesting enable compliance audit and retrospective investigations. | |
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Automated Case Escalation Automatically escalates suspicious cases for compliance officer review. |
Cases are automatically escalated to compliance officers in response to risk rules. |
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Integrated Global Lists Supports all major regulatory and financial watchlists (OFAC, EU, UN, etc.). |
Integrated with major global lists (OFAC, EU, UN, etc.) as a base product feature. | |
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Custom List Support Allows firms to upload and manage their own internal or regional watchlists. |
Clients can upload custom internal and regional watchlists to supplement vendor data. | |
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Automated List Updates Regularly and automatically fetches the latest list changes. |
Automated workflows fetch the latest list updates as documented in the product overview. | |
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Version Control Tracks list changes and maintains history for audit purposes. |
Version control for all list updates and past entries is a compliance audit feature. | |
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List Capacity Maximum number of entries supported per watchlist. |
No information available | |
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Fuzzy Matching Algorithms Detects similar names or entities with variable spellings. |
Fuzzy matching logic described as part of watchlist and onboarding matching capabilities. | |
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Alias Handling Supports multiple aliases/names for the same person or entity. |
Alias and alternate name handling included as standard, supporting multiple identities per case. | |
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Bulk List Import/Export Allows batch file management for lists. |
Bulk import/export for watchlists and KYC data is included in client onboarding toolkit. | |
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Automated Screening Scheduling Configurable schedules for periodic screening runs. |
No information available | |
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Geo-Restriction Handling Manages restricted or high-risk regions and jurisdictions. |
Geo-restriction and high-risk jurisdiction management are mentioned for international brokers. |
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Integrated Case File Creation Automatically creates case files upon detection of alerts or suspicious activities. |
Case files are automatically generated by the system after alert/detection. | |
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Investigation Workflow Engine Guided process for analysts through investigation, review, and resolution steps. |
Investigation workflow guides compliance team from alert to resolution. | |
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Audit Trail Logging Maintains detailed logs of all actions taken on a case for compliance. |
Full audit trail for all compliance case actions is a highlighted compliance feature. | |
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Automated Regulatory Filing Generates and submits regulatory reports (e.g., SAR/STR) in the required formats. |
Automated regulatory filing (e.g. SAR/STR) described for core regulatory jurisdictions. | |
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Role-Based Access Control Restricts and manages access to cases based on user roles or responsibilities. |
RBAC (role-based access control) is included for multi-team, multi-region compliance operations. | |
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Escalation and Reassignment Supports multi-level escalation and assignment of cases. |
Escalation and reassignment features are provided per documented case management tools. | |
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Case Review SLAs Tracks and enforces service-level agreements for case review duration. |
No information available | |
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Document Storage Capacity Maximum storage allocated per case for supporting documents. |
No information available | |
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Automated Case Notification Notifies relevant users upon updates, assignment, or need for action. |
Automated case notifications are in place to keep users and compliance officers updated. | |
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Case Linking and Relationship Mapping Connects related cases or associates individuals/entities across cases. |
No information available |
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Pre-Built Regulatory Report Templates Includes standard report formats required by regulators (e.g., SAR, CTR, STR, KYC logs). |
Pre-built report templates for major jurisdictions such as SAR, STR, and KYC reports are detailed in marketing and user documentation. | |
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Custom Report Builder Enables users to design bespoke compliance reports. |
Custom report builder described for advanced compliance and audit needs. | |
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Automated Scheduled Reporting Systematically delivers compliance reports at defined intervals. |
Automated scheduled reporting is available for periodic compliance submission. | |
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Regulatory Data Retention Period Number of years for which compliance data is retained. |
No information available | |
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E-Filing Integration Supports direct submissions via regulatory authority electronic channels. |
Supports e-filing/direct regulatory submissions for certain markets, per platform literature. | |
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Multi-Jurisdictional Compliance Built-in features for different global regulatory regimes. |
Product supports multi-jurisdictional compliance, adaptable to various regulatory regimes globally. | |
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Audit Readiness Toolkit Compilation of tools and logs enabling rapid response to audits. |
Comprehensive audit readiness and toolkits for fast audit response are part of core compliance features. | |
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Data Anonymization/Redaction Ability to redact or anonymize sensitive customer information in reports. |
Redaction and anonymization of sensitive data in exported/reported data is available. | |
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Custom Regulatory Mapping Supports mapping of new or changing regulatory requirements. |
No information available | |
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Compliance Attestation Support Module for documentation and certification of compliance by officers. |
No information available |
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API Access and Documentation Provides detailed APIs for integration with proprietary or third-party systems. |
API documentation and robust API access are core to the platform for client integrations. | |
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Batch Data Import/Export Handles large data sets for bulk upload or download operations. |
Handles batch data import/export for onboarding, KYC and transactional data sets. | |
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Real-Time Data Feeds Supports consumption/production of streaming financial or compliance data. |
Supports real-time and streaming data feeds for transaction and compliance operations. | |
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Third-Party Data Provider Integration Easy integration with external KYC/AML data sources, credit bureaus, etc. |
Integrates easily with third-party KYC/AML data, credit bureaus and verification providers. | |
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Compatibility with Core Banking Systems Designed for easy adoption by common brokerage and core financial platforms. |
Marketed as compatible with core banking and capital markets platforms. | |
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Customizable Webhooks Triggers actions in other systems upon specific compliance events. |
Customizable webhooks can be configured for compliance event actions. | |
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SSO and Identity Provider Support Integrates with identity management and SSO for organizational identity control. |
Integrates with enterprise authentication/SSO and identity providers. | |
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Plugin/Extension Support Can be extended with add-ons for specific compliance needs. |
No information available | |
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Connector Library Size Number of pre-built connectors to standard systems/platforms. |
No information available | |
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Legacy System Support Compatible with non-modern or legacy brokerage infrastructures. |
No information available |
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Customizable Dashboards Personalized views for compliance officers, executives, or investigators. |
Configurable and customizable dashboards for compliance roles as documented in their UI/UX guides. | |
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Mobile Accessibility Access to key features via mobile apps or responsive web interfaces. |
Web-based and mobile-responsive interface enables mobile accessibility. | |
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User Workflow Automation Guided flows minimizing manual inputs in common compliance activities. |
User workflow automation is designed into compliance onboarding and case management flows. | |
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Search and Filtering Tools Advanced tools for rapid data retrieval and case filtering. |
Advanced search and granular filtering tools are available for user investigations. | |
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Bulk Action Tools Support for batch processing and bulk updates. |
Bulk actions for onboarding, screening and case handling are documented. | |
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Multi-Language UI User interface offered in multiple languages. |
Multi-language UI offered to accommodate international compliance teams. | |
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Accessibility Compliance Meets accessibility standards such as WCAG for user inclusivity. |
No information available | |
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User Training and Help Center Built-in education modules and real-time assistance features. |
In-app help, onboarding modules and user training sections mentioned in support features. | |
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Custom User Roles Tailorable user permissions for granular security and workflow management. |
Custom user roles and permissions part of platform access control. | |
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Performance/Load Times Average time taken for the UI to load main dashboards. |
No information available |
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Data Encryption In Transit/At Rest Encrypts all sensitive data both in motion and when stored. |
Data is encrypted in transit and at rest per product compliance documentation. | |
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Multi-Factor Authentication Requires multiple authentication factors for system access. |
Multi-factor authentication is available for all privileged access. | |
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Access Logging and Monitoring Extensive logs of all user access and administrative actions. |
Access logging and monitoring tools included for audit/compliance. | |
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Penetration Testing Frequency How often the system undergoes external security assessment. |
No information available | |
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Data Residency Options Supports choice of specific regions/countries for data storage. |
Data residency options are configurable per client regulatory needs. | |
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Compliance with Industry Standards Adheres to standards such as ISO 27001, PCI DSS, GDPR. |
Vendor claims compliance with industry certifications (ISO 27001, PCI DSS, GDPR, etc.). | |
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User Session Time-Outs Automatic log-off after a period of inactivity. |
Idle session time-outs are part of standard security policy. | |
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Field-Level Data Masking Sensitive fields can be masked or hidden from unauthorized users. |
Field-level data masking is described as a privacy feature. | |
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Secure Audit Log Storage Ensures immutability and backup of critical audit logs. |
Audit logs are securely stored and protected from tampering. | |
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Incident Response Procedures Documented processes for breach detection and notification. |
Incident response documented as per standard compliance frameworks. |
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Concurrent User Limit Maximum number of users supported simultaneously. |
No information available | |
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Transaction Processing Latency Average time to process and analyze a single transaction. |
No information available | |
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Uptime/Availability SLA Guaranteed system availability often expressed as a percentage. |
No information available | |
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Data Ingestion Rate Speed at which system can ingest new compliance data. |
No information available | |
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Horizontal Scaling Support System supports scaling across servers/nodes to accommodate growth. |
Horizontal scale-out supported via cloud-native architecture. | |
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Performance Monitoring Tools Built-in dashboards and alerts on system performance metrics. |
Performance dashboards, usage analytics, and health monitoring offered natively. | |
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Cloud Deployment Option System can be deployed as a cloud (SaaS) or hybrid solution. |
System is available as SaaS (cloud deployment option) and private cloud. | |
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On-Premise Deployment Option Supports local/internal hosting for sensitive or regulated data. |
On-premise deployments available for regulated institutions requiring data localization. | |
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Disaster Recovery RTO Recovery Time Objective in case of system outage. |
No information available | |
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Database Size Limit Maximum database size supported without performance loss. |
No information available |
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24/7 Support Availability Round-the-clock access to technical and compliance support. |
24/7 technical and compliance support documented on IdentityMind support page. | |
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Dedicated Account Manager Single point of contact for service and issue escalation. |
Dedicated account managers are specified for enterprise tier clients. | |
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Self-Service Knowledge Base Extensive library of documentation, FAQs, and training material. |
Comprehensive self-service knowledge base is highlighted as part of their support model. | |
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Regular System Updates Frequency of non-disruptive security, functionality and rule updates. |
No information available | |
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Custom SLA Options Ability to define support levels and response times contractually. |
No information available | |
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Uptime Guarantee Contractual uptime guarantee for system operation. |
No information available | |
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Automated Backup Scheduling Scheduled, automated backups of all system and client data. |
Backup scheduling and automated data protection routines are described in technical documentation. | |
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Patch Management Tools Automation of system security patching and compliance rule changes. |
Patch management and compliance policy updates are centrally managed and automated. | |
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User Feedback Loop Mechanisms for users to submit feedback and feature requests. |
In-platform user feedback and feature request submission tools included. | |
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Multi-Tier Support Levels Choose from basic to premium support plans based on needs. |
Multiple support plan tiers (standard/premium) are detailed in service descriptions. |
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Transparent Pricing Model Clearly published and predictable licensing or usage costs. |
Transparent, published, tiered pricing is a key vendor sales pitch. | |
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Pay-As-You-Go Option Usage-based billing for modular feature access. |
Pay-as-you-go pricing only available for select APIs/functionalities; most plans are modular. | |
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Volume Discounts Available Lower per-unit pricing as transaction or client count increases. |
Volume discounts are offered for larger onboarding, as disclosed in sales collateral. | |
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Free Trial/POC Period for free evaluation or proof of concept. |
Free trial/POC is typically offered to qualified prospects. | |
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Feature-Based Licensing Modular pricing per individual function/module. |
Feature-based (modular) licensing options for add-ons and extra functionality described. | |
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Perpetual License Option Option to purchase software outright rather than as a subscription. |
No information available | |
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Annual Billing Option Discounted pricing for annual upfront payment. |
Annual billing and discounted pricing for upfront payment are documented in procurement materials. | |
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Multi-Entity Licensing Special terms for multi-subsidiary or group licensing. |
Multi-entity licensing for group-level deployments is available for large brokers/banks. | |
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Seat/User License Cap Maximum number of named users included without additional charges. |
No information available | |
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Additional Data Storage Pricing Published price per additional unit of data storage. |
No information available |
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