Audit Trail and Record-Keeping Systems for Compliance
Solutions that maintain comprehensive records of all transactions, client interactions, and compliance activities for regulatory examinations and investigations.
Other Compliance
Employee compliance management, personal trading monitoring, gifts and entertainment tracking, outside business activities tracking, compliance calendars, and code of ethics management for financial advisors.
Provides comprehensive audit trail capabilities to meet regulatory compliance requirements. It includes transaction tracking, automated record-keeping, and reporting features to ensure accuracy and accessibility.
An integrated compliance and record-keeping solution that automates transaction logging, ensures regulatory compliance, and simplifies audit processes. Includes customizable reporting features.
Captures, stores, and reconstructs trade-related events for full regulatory compliance. Provides immutable audit trails combining order, communication, and transaction records with powerful search and reporting tools.
Consolidates, normalizes, and securely stores trade data and communications. Enables rapid search, reconstruction, and export for regulatory audits (MiFID II, SEC, FINRA). Provides tamper-evident audit logs and automated compliance reporting.
A compliant text messaging solution designed specifically for financial advisors and broker-dealers. Features include automatic archiving of all communications, audit trails, supervision capabilities, and integration with CRM systems to maintain comprehensive client records in compliance with FINRA and SEC regulations.
Cloud-based managed file transfer solution with comprehensive audit and reporting capabilities. Maintains detailed logs of all file transfer activities, user actions, and compliance events with tamper-proof records that satisfy broker-dealer regulatory requirements.
Cloud-based archiving and records management platform with comprehensive supervision and e-discovery capabilities. Includes immutable storage, detailed audit logging, and chain-of-custody tracking that meets SEC 17a-4 requirements for broker-dealers.
Cloud-based archiving solution with built-in e-discovery and supervision capabilities. Provides tamper-proof storage, comprehensive audit trails, and intelligent supervision workflows specifically designed for broker-dealer compliance requirements.
Proactive compliance monitoring solution that detects misconduct in electronic communications. Features include real-time monitoring, intelligent alerting, integrated case management, and customizable rule sets for fund management compliance workflows.
End-to-end communication compliance platform designed for financial institutions including fund managers. Features include AI-powered monitoring across all communication channels, proactive risk detection, contextual analysis, advanced search capabilities, and integrated case management for investigations.
AI-powered compliance platform that analyzes communication data to identify potential misconduct in fund management. Features include natural language processing, voice analytics, behavioral pattern recognition, risk scoring, case management, and integration with trade surveillance systems.
