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Protect Your Firm, With A Fully Integrated Compliance Toolkit

Adhering to regulatory requirements can be a burden to any advisory firm. We help you complete necessary compliance tasks, while keeping your data safe, with a suite of tools that are directly integrated into your investment management platform.

In-House Compliance Capabilities

Test Compliance Policies
Test Compliance Policies

Advisory firms aren’t just expected to implement off-the-shelf compliance policies. They’re expected to tailor them to fit the unique needs of their firm and the clients it serves. That means compliance policies need to be tested.

With our in-house compliance toolkit, you can test your policies, identify areas of risk, and address them proactively. Testing is streamlined with a library of pre-built query templates that are easily scheduled and run at your discretion.

Maintain Audit Trails
Maintain Audit Trails

Audit volumes are on the rise, and your ability to navigate one successfully is critical to the well-being of your firm.

To prepare for an audit, advisors need two things:

  • Tools to proactively test areas of risk
  • The ability to produce and deliver compliance data, on demand

Our audit preparation tool collects and stores the data points most commonly requested by auditors, automatically, in a single dashboard. The dashboard can be used to run custom mock audits and assess the effectiveness of your compliance policies.

And if you’re subjected to a live audit, all of your data points are accessible and organized. Simply download the requested information, upload additional files, and generate a comprehensive report.

Archive Past Reports
Archive Past Reports

A highly effective compliance officer is one who can successfully—yet efficiently—keep tabs on the past, while maintaining a focus on the future.

Deliver reports to an SFTP location of your choice, enabling you to track and archive performance communications to comply with books and records requirements.

Ready for a more efficient and secure compliance environment?

Get in touch to learn more about our fully integrated suite of compliance tools.