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.
Other Compliance and Risk Management
Employee compliance management, personal trading monitoring, gifts and entertainment tracking, outside business activities tracking, compliance calendars, and code of ethics management for financial advisors.
A modular platform covering AML, fraud detection, sanctions screening, regulatory compliance reporting, and monitoring tailored specifically for financial industry clients.
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.
Robust data analytics tools for continuous auditing, risk assessments, and comprehensive audit trails to facilitate compliance monitoring.
Includes capabilities for audit trails, document management, and reporting compliance. Facilitates collaboration and workflow automation across teams to enhance compliance processes.
Automated end-to-end compliance and risk management solution for financial services firms. Includes robust audit trail capabilities, centralizes all compliance data, manages regulatory change, and documentation with full audit history logging.
Offers automated audit management tailored for financial institutions, including complete audit trails, risk assessments, evidence management, workflow tracking, and integration with compliance frameworks.
Comprehensive audit management with configurable workflows, policy linking, and robust audit trail recording of all actions and evidence for internal, IT, and regulatory audits.
Unifies audit, risk, and compliance activities. Includes detailed, tamper-proof audit trails of every system event, evidence management, analytics, and custom workflows optimized for financial advisory compliance.
Centralizes policy, procedure, and compliance initiatives; provides digital audit trails for all user and system activity; includes automated compliance tracking and reporting for financial advisory organizations.
Enables planning and management of the audit lifecycle. Tracks audit trails of all actions, findings, and evidence, integrates with risk and compliance systems, and supports regulatory reporting in finance.
A compliance platform designed for financial advisors that records all client interactions and advisory activities. Includes automated documentation, timestamping, version control, approval workflows, regulatory reporting, and searchable records of all compliance-related activities.
An audit trail system designed for financial advisors to document client interactions, recommendations, and compliance activities. Features include automated logging of advisory actions, suitability documentation, record retention, supervisory review workflows, and reporting capabilities for FINRA and SEC requirements.
A digital preservation platform with comprehensive audit trail capabilities for financial advisory firms. Features include tamper-proof record keeping, chain of custody documentation, automated retention policies, compliance with FINRA/SEC requirements, and verifiable audit trails for regulatory inquiries.
A comprehensive compliance surveillance platform with audit trail capabilities. Features include trade monitoring, electronic communication review, advisor activity tracking, conflict detection, and detailed audit logs for all compliance activities and supervisory reviews.
Customizable workflows for compliance and risk management, comprehensive audit trail capabilities, and integration with existing systems to maintain consistency in risk reporting.
