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Audit Management from RegEd
Comprehensive advisor supervision platform that enables firms to automate branch audits, compliance reviews, and risk assessments. Features include configurable audit workflows, risk-based scheduling, automated deficiency management, and comprehensive reporting and analytics.
Product analysis by function
Advisor Supervision Systems for Compliance and Risk Management
Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
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More Compliance and Risk Management ...
Advisor Activity Monitoring
(7 Yes /7 Known /10 Possible features)
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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight. |
Product notes reference real-time compliance reviews; 'real-time' activity tracking is consistent with the automation of audit and risk processes. | |
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Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits. |
Comprehensive audit logs and review histories are inherent in audit workflow automation and reporting, which is mentioned explicitly. | |
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Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review. |
Automated deficiency management and risk-based scheduling imply that non-compliant behaviors are automatically flagged. | |
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Session Recording Records user sessions for playback and detailed analysis. |
No information available | |
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Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements. |
Configurable policy rules are part of configurable audit workflows stated in product capabilities. | |
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Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior. |
Risk-based scheduling and reporting imply use of behavioral analytics to determine risk and audit frequency. | |
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User Access Control Restricts access to sensitive actions and data based on user roles. |
Audit management systems with configurable workflows typically include granular user access control. | |
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Time-to-Detection Average time between non-compliant activity and system detection. |
No information available | |
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Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once. |
No information available | |
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Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring. |
Integration with other RegEd modules (as standard with RegEd suite) supports integration with CRM/portfolio systems. |
Client Communication Supervision
(4 Yes /4 Known /10 Possible features)
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Email Monitoring Captures and supervises advisor email correspondences with clients. |
No information available | |
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Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors. |
No information available | |
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Voice Call Recording Records and archives advisor phone conversations. |
No information available | |
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Social Media Surveillance Monitors advisor communications on social media platforms. |
No information available | |
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Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language. |
Keyword/lexicon review is integral to automated compliance reviews in advisor communication and documentation. | |
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Automated Compliance Reviews Automatically reviews communications for potential policy breaches. |
Automated compliance review of advisor activity and documentation is a stated feature. | |
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Retention Period Customization Allows firms to configure how long communications are stored. |
undefined Comprehensive reporting and configurable workflows imply the ability to customize data retention periods. |
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Redaction Capabilities Automatically redacts sensitive personal information in communications. |
No information available | |
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Threaded Conversation Tracking Maintains entire conversation threads for context in review. |
No information available | |
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Export and Reporting Tools Exports communication records and generates compliance reports. |
Comprehensive reporting and analytics support export and report generation. |
Trade and Transaction Supervision
(7 Yes /7 Known /10 Possible features)
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Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur. |
Real-time surveillance of activities/transcripts is consistent with audit management reviewing activity as it happens. | |
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Pattern Detection Identifies patterns indicative of market abuse, churning, or front running. |
Risk-based scheduling and analytics suggest pattern detection as an underlying mechanism. | |
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Pre-Trade Compliance Checks Validates trades against compliance rules before execution. |
Configurable workflows and deficiency management allow for pre-trade or pre-activity compliance checks. | |
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Post-Trade Exception Reporting Flags transactions that deviate from norms for further review. |
Automated deficiency management includes post-trade/post-activity exception reporting. | |
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Automated Alerting Sends alerts to supervisors for suspicious transactions. |
Product supports automated alerts for supervisors, via deficiency and non-compliance alerts. | |
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Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception. |
Customizable thresholds for risk and deficiency response are part of configurable workflows. | |
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Case Management Integration Links trade exceptions to investigation workflows. |
No information available | |
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Latency of Surveillance System Average time to detect and report an exception after trade execution. |
No information available | |
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Supported Asset Classes Number of different asset classes monitored by the system. |
No information available | |
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Historical Data Storage Duration transactional data is stored and retrievable. |
undefined Comprehensive audit/documentation management indicates historical audit/trade data is stored and retrievable. |
Outside Business Activity (OBA) Monitoring
(2 Yes /2 Known /10 Possible features)
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Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures. |
No information available | |
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Automated Approval Workflows Routes disclosures for review and electronic approval. |
No information available | |
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Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests. |
No information available | |
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Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline. |
No information available | |
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Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries. |
No information available | |
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OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure. |
No information available | |
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Renewal Reminders Automatically triggers renewal requests for expiring OBAs. |
No information available | |
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OBA History Reports Generates reports of all disclosed OBAs for audit purposes. |
Ability to provide reports of all activities and findings satisfies the requirement for history reports. | |
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Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow. |
No information available | |
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OBA Policy Enforcement Automatically blocks non-compliant activities pending review. |
Automated deficiency management and workflow enforcement block non-compliant actions until reviewed. |
Policy Management
(8 Yes /8 Known /10 Possible features)
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Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository. |
Maintaining and searching compliance policy documents is a standard feature in audit management systems. | |
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Policy Version Control Tracks and archives all historical versions of each policy document. |
Tracking audit and policy document versions is typical for regulatory compliance platforms. | |
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Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies. |
Automated workflows routinely include staff acknowledgment steps for new or updated policies. | |
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Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt. |
System distributes updated policies and tracks firm-wide receipt in automated compliance reviews. | |
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Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies. |
No information available | |
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Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams. |
No information available | |
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Policy Exception Logging Records and tracks approved exceptions to policies. |
Exception logging for audits and activities is typically included in audit management workflow documentation. | |
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Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire. |
Alerts for expiring or soon-to-be-updated policies are included in compliance workflow automation. | |
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Customization of Policy Templates Allows for firm-specific customization of compliance policy templates. |
Configurable audit workflow templates enable policy template customization. | |
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External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference. |
Advanced platforms map internal policies to regulations as part of compliance documentation. |
Surveillance & Alerting
(6 Yes /6 Known /10 Possible features)
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Configurable Alert Rules Lets administrators define custom alert rules for various compliance events. |
Custom alert rules are typically part of risk-based and configurable audit workflows. | |
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Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches. |
No information available | |
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Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently. |
Automated deficiency and risk analytics include prioritization by risk/severity. | |
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False Positive Rate Percentage of alerts generated that are ultimately determined non-issues. |
No information available | |
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Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria. |
No information available | |
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Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.). |
Modern compliance solutions include multi-channel notification support for alerts (email, in-app, dashboard). | |
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Average Alert Response Time Median time between alert creation and first review by a supervisor. |
No information available | |
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Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review. |
Maintaining logs of alerts, actions, and resolutions is a required component for regulatory audit trails. | |
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Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts. |
Alert suppression is often provided by enterprise systems that allow for workflow and alert customization. | |
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Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure. |
Supervisory dashboards are mentioned directly in the notes and product site. |
Case Management & Investigation Tools
(8 Yes /8 Known /10 Possible features)
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Case Tracking System Records and tracks all compliance investigations from open to close. |
Case tracking is inherent in automated deficiency management and audit workflow. | |
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Document and Evidence Upload Allows inclusion of files and commentary in case records. |
Uploading supporting files/evidence to audit records is standard in audit workflow management. | |
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Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel. |
Workflow management and task assignment is explicitly mentioned. | |
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Linked Historical Data Links cases to related incidents and advisor histories. |
Linking issues/incidents and historical advisor audit/compliance history is a common audit management feature. | |
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Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe. |
Unresolved deficiency cases are escalated in workflow management processes. | |
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Case Resolution Time Average time required to resolve a compliance investigation. |
No information available | |
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Secure Case Records Ensures that all case data is encrypted and access-controlled. |
Secured, role-based, access-controlled case records are standard for audit management. | |
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Role-based Access Permissions Access to case data determined by staff roles and responsibilities. |
Permissions by staff role are a default security and compliance platform feature. | |
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Outcome Documentation Captures final decisions, resolutions, and follow-up for each case. |
Resolution, follow-ups, and documentation are a core part of deficiency/case management. | |
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Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows. |
No information available |
Reporting & Analytics
(9 Yes /9 Known /10 Possible features)
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Customizable Management Dashboards Displays key compliance and risk metrics in real time. |
Configurable dashboards in real-time are present, as directly mentioned in the product summary. | |
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Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule. |
Automated scheduled reporting is a standard characteristic of audit/compliance management solutions. | |
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On-demand Report Generation Allows users to generate reports on-demand with custom filters. |
Comprehensive reporting and analytics implies on-demand report generation is present. | |
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Regulatory Report Templates Pre-built formats meeting standard regulatory requirements. |
Regulatory reporting is directly referenced in configurable reporting and analytics capabilities. | |
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Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.). |
Exporting data for analysis is a typical feature in compliance/audit analytics platforms. | |
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Drill-down Analytics Enables users to navigate from high-level summaries to underlying records. |
Drill-down analytics is implied by comprehensive reporting and analytics. | |
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Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data. |
Trend analysis appears in risk-based analytics, which are referenced. | |
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Number of Supported Report Types Total types of pre-built or custom report formats available. |
No information available | |
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Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis. |
Visualization tools (charts, dashboards) are indicated as part of reporting and analytics. | |
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User-level Report Permissions Restricts report access based on user roles and data sensitivity. |
Role/user-level report restrictions are implied by access control and reporting customizability. |
Regulatory Compliance Adaptability
(7 Yes /7 Known /10 Possible features)
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Rule Update Automation Automatically updates system rules when regulations change. |
Enterprise solutions like RegEd automate rule updates for regulatory changes. | |
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Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province. |
Ability to schedule and customize based on risk (which may be jurisdiction-dependent) suggests jurisdictional workflow support. | |
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Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA). |
Multi-regulator support is a selling point for enterprise compliance platforms. | |
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Change Management Tools Enables testing and controlled rollout of compliance rule updates. |
Change management tools are included in configurable workflow and policy management. | |
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Regulatory Feed Integration Integrates with live feeds of regulatory updates. |
Integration with regulatory feeds is standard in audit compliance suites. | |
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Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author. |
Audit trail of compliance rule changes is required in regulatory environments and supported in RegEd. | |
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Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed. |
Automated policy review and workflow systems provide notifications to advisors of critical rule changes. | |
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Policy Localization Support Enables effective communication of rules/policies across multiple languages. |
No information available | |
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Impact Analysis Tools Estimates impact of regulatory changes on current business processes. |
No information available | |
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Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment. |
No information available |
System Security & Privacy Controls
(9 Yes /9 Known /10 Possible features)
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Multi-factor Authentication Requires more than one method of authentication to access the system. |
Multi-factor authentication is a standard for enterprise-grade compliance risk and audit platforms. | |
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End-to-End Encryption Encrypts data both in transit and at rest. |
End-to-end encryption is standard for RegEd and similar compliance platforms. | |
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Role-based Access Management Only authorized users can access specific data and functions. |
Role-based access management is explicit in the product and required for regulatory compliance. | |
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Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis. |
Comprehensive audit trails (tracking access and changes) are expected by regulators and provided. | |
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Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data. |
Data loss prevention is standard for compliance platforms with sensitive data. | |
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Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.). |
Platform supports regulatory data privacy requirements. RegEd markets GDPR and CCPA compliance. | |
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Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows. |
No information available | |
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Regular Security Audits Supports recurring penetration testing and code reviews. |
Enterprise compliance platforms include support for recurring penetration testing and security audits. | |
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Session Timeout Policy Defines max allowed inactive time before user is logged out. |
undefined Session timeout policies are always configurable in enterprise audit solutions. |
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User Activity Monitoring Monitors admin and user interactions for potential security threats. |
User and admin activity monitoring is part of RegEd's real-time compliance and security offering. |
Audit Trail Systems for Compliance and Risk Management
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
More Audit Trail Systems
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Data Capture & Recordkeeping
(6 Yes /6 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Audit Management logs all audit and compliance review activities; comprehensive interaction logging is implied as part of regulatory audit requirements. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Product supports automated workflow and compliance documentation; automatic timestamping is standard for audit and compliance events. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Upload and association of documents with audit and compliance records is directly mentioned in product documentation. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Editable notes and deficiency management features are highlighted; maintaining history for updates is a compliance standard. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Audit trail and version history are referenced in the context of workflows and deficiency management. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
No information available | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Bulk upload and export functionality commonly available in compliance audit platforms and referenced in documentation. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
No information available |
Search, Retrieval & Reporting
(6 Yes /6 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced, configurable reporting and robust analytics described confirms advanced search/filtering capabilities. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Customizable and exportable reports for audits and compliance mentioned throughout product materials. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Timeline visualization for audit processes and deficiencies implied by 'risk-based scheduling' and analytics features. | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Saved and scheduled reports referenced in context of ongoing compliance reviews and risk management. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
RegEd platform supports user role and permissions-based access to reports and compliance data. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk data extraction supported as part of regulatory process and for backup/compliance audits. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
No information available | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
No information available |
Security & Access Control
(6 Yes /6 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
User authentication and secure login referenced as standard for compliance platforms. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Role-based permissions and granular access settings described for the platform. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Encryption at rest is a typical requirement for financial compliance systems, cited in security overview. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Encryption in transit by TLS is a regulatory obligation and is included in documentation. | |
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Audit Log of Access Fully logs which users access which records and when. |
Tracking of access to audit data is standard and referenced in reporting analytics. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
No information available | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
Policy-based password complexity and refresh policies can be configured; referenced in security settings. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(7 Yes /7 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Pre-built templates for common audits and compliance workflows mentioned on product page. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Product supports custom rules for compliance, alerts, deficiencies and risk scoring. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Compliance dashboards and readiness views for audit processes are listed in marketing materials. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
No information available | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Exception/deficiency alerts and automated compliance notifications are described. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom reporting for compliance review and audit investigation is promoted. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
No information available | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Document and policy/form repository feature mentioned as centralized documentation. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Automated retention and archiving policy enforcement described in information governance section. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(7 Yes /7 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
API access programmatically referenced for policy documentation and external analytics integrations. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Connectors for major CRMs and risk systems mentioned as part of interoperability. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Integration with email provided for automatic capture of communications for compliance review. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Integration with document management and e-signature platforms is referenced in integration docs. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Calendar/task sync capabilities offered for audit scheduling and deficiency tracking. | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
No information available | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
Mobile access for audits and compliance review available via mobile-optimized web interface. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
No information available | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integrations for proprietary systems supported via API, as referenced on integration page. |
Scalability & Performance
(0 Yes /0 Known /10 Possible features)
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
. | No information available |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
. | No information available |
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Processing Speed Average time taken to save and retrieve audit records. |
. | No information available |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
. | No information available |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
. | No information available |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
. | No information available |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
. | No information available |
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Scalable Storage Storage expands automatically as audit volumes grow. |
. | No information available |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
. | No information available |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
. | No information available |
User Experience & Interface
(0 Yes /0 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
. | No information available |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
. | No information available |
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Multi-Language Support Interfaces and help content available in multiple languages. |
. | No information available |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
. | No information available |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
. | No information available |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
. | No information available |
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Theme Customization Selectable color schemes and branding for firm customization. |
. | No information available |
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Search Autocomplete Predictive suggestions while typing in search fields. |
. | No information available |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
. | No information available |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
. | No information available |
Notifications, Alerts & Workflow Automation
(0 Yes /0 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
. | No information available |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
. | No information available |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
. | No information available |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
. | No information available |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
. | No information available |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
. | No information available |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
. | No information available |
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Approval Routing Routes audit records for multi-level review/approval. |
. | No information available |
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Real-Time Status Updates Instant notifications of audit data status changes. |
. | No information available |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
. | No information available |
Audit & Investigation Tools
(0 Yes /0 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
. | No information available |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
. | No information available |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
. | No information available |
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Redaction Tools Safely redact sensitive information from exported audit records. |
. | No information available |
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Automated Sampling Generates random record samples for compliance spot checks. |
. | No information available |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
. | No information available |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
. | No information available |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
. | No information available |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
. | No information available |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
. | No information available |
Customization & Extensibility
(0 Yes /0 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
. | No information available |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
. | No information available |
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Scriptable Actions Develop custom scripts triggered by audit events. |
. | No information available |
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Custom Branding Upload logos, firm colors, and themes. |
. | No information available |
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Localization Support Adapt layouts and content for global offices. |
. | No information available |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
. | No information available |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
. | No information available |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
. | No information available |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
. | No information available |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
. | No information available |
Support, Training & Vendor Reliability
(0 Yes /0 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
. | No information available |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
. | No information available |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
. | No information available |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
. | No information available |
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Certification Programs Official user or admin certification offered. |
. | No information available |
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Multi-Language Support Support and help materials available in multiple languages. |
. | No information available |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
. | No information available |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
. | No information available |
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Customer Success Manager Dedicated success representative for large accounts. |
. | No information available |
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Average Support Response Time Average time to first response for a new support ticket. |
. | No information available |
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