This suite offers streamlined regulatory reporting capabilities to comply with reporting obligations across jurisdictions, integrating data management and automation to reduce risk and improve efficiency.
Platforms that track changing regulations, automate compliance workflows, manage required disclosures, and ensure advisors meet regulatory obligations from bodies like the SEC, FINRA, and state regulators.
More Regulatory Compliance Systems
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Jurisdictional Support Ability to support regulations across multiple US states and federal bodies. |
No information available | |
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International Regulation Support Support for non-US regulations and cross-border compliance. |
The product notes multi-jurisdictional and cross-border regulatory support, indicating support for international regulations. | |
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Real-Time Regulatory Updates The system provides real-time updates when regulations change. |
Marketing emphasizes 'real-time compliance' and 'continuous updates,' suggesting real-time regulatory update capabilities. | |
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Custom Rule Mapping Ability to create or modify mappings to custom company-specific compliance policies. |
Describes customizable policy logic and mapping, which covers custom rule mapping. | |
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Regulation Database Size Number of distinct regulatory statutes/rules tracked. |
No information available | |
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Automated Interpretation Engine Uses AI/NLP to summarize and interpret new regulatory text. |
Mentions automation with AI/ML for data extraction and rule interpretation, indicating an automated interpretation engine. | |
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Rule Version Tracking Tracks historical versions of regulations for comparison and audit. |
Tracks changes to requirements and keeps full audit records for versioning, covering rule version tracking. | |
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Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation. |
Exception-based workflow handling and error flagging mentioned, supporting exception handling. | |
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Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations. |
Maintains audit logs and history of all updates and actions, consistent with audit trail for regulatory updates. | |
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Regulatory Library Export Capability Ability to export all regulatory content for offline analysis. |
No information available | |
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Integration with Legal Resources Embeds or links to official legal interpretations or legal counsel resources. |
No information available |
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Automated Disclosure Generation Automatically generates required client disclosures according to regulatory guidelines. |
Automation of report production and regulatory disclosures mentioned in suite description. | |
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Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items. |
Workflow and approval routing discussed as part of automation and controls. | |
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Task Assignment Automation Automatically assigns compliance tasks to relevant parties based on roles, locations, or other rules. |
Task assignment and workflow automation covered in features list. | |
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Workflow Customization Ability to design and modify custom compliance workflows. |
Specifically emphasized workflow customization for client-specific needs and regulatory nuances. | |
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Escalation Triggers Automatically escalates issues or breaches to compliance officers and key stakeholders. |
Escalation processes in compliance workflow are covered. | |
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Compliance Calendar Management Tracks and automates key dates and deadlines for compliance actions. |
Tracks key regulatory reporting deadlines, i.e., compliance calendar management. | |
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Automated Notifications System sends alerts and reminders for upcoming or overdue compliance actions. |
Automated notifications for deadlines and workflow steps are mentioned. | |
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Workflow Integration APIs APIs for integration with other workflow or case management platforms. |
APIs for workflow integration highlighted as supporting integration needs. | |
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Bulk Action Processing System can process compliance workflows for multiple clients simultaneously. |
Bulk reporting and multi-entity processing noted; covers bulk action processing. | |
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Workflow Audit Logging All automated actions and manual interventions are logged for later review. |
All workflow activities logged, supporting workflow audit logging. | |
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Simultaneous Workflow Capacity Number of compliance workflows the system can handle at once. |
No information available |
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Template Library Comes with templates for standard regulatory disclosures and forms. |
Provides regulatory reporting and disclosure templates. | |
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Automated Document Delivery System automatically delivers disclosures and forms to clients and tracks receipt. |
Automated document delivery confirmed in public materials. | |
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E-signature Integration Integrated support for e-signatures on compliance documents. |
Suite integrates with e-signature solutions for regulatory documents. | |
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Version Control for Documents Tracks historical versions and updates to compliance documentation. |
Tracks versions and amendments of compliance reports. | |
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Secure Storage of Documents All disclosures and supporting documents are stored securely and encrypted. |
Describes secure cloud/hosted storage of regulatory documents. | |
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Document Retention Policy Automation Automatically enforces document retention and deletion policies per regulation. |
Auto-enforces document retention and deletion consistent with regulation. | |
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Client Portal Access Clients can view/download compliance disclosures via secure web portal. |
Clients can access documents and disclosures via a secure portal. | |
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Document Searchability Full-text search across all disclosures and compliance documentation. |
No information available | |
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Bulk Document Processing Ability to generate or process documents in bulk for multiple clients. |
Consistent with bulk document processing support for large firms. | |
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Automated Acknowledgement Tracking Automatically tracks client acknowledgement of received disclosures. |
Acknowledgment tracking is an explicitly cited feature for regulatory delivery. | |
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Document Sharing Controls Granular controls over who can view, download, or share compliance documents. |
Access and sharing permissions for documents are configurable. |
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Real-Time Activity Monitoring Monitors advisor and client activity for compliance in real time. |
Real-time monitoring dashboard is part of compliance suite. | |
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Automated Alerting System sends alerts when compliance thresholds are approached or breached. |
Alerts are triggered when compliance thresholds are approached. | |
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Policy Breach Detection Rate Percentage of potential compliance breaches detected automatically. |
No information available | |
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Customizable Monitoring Rules Users can define and adjust their own sets of monitoring rules. |
Monitoring rules can be tailored to each financial institution/client. | |
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Risk Scoring System assigns risk scores to clients, advisors, or events based on compliance data. |
Risk scoring is produced as part of the overall compliance monitoring. | |
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False Positive Rate Rate of incorrect compliance alerts (false alarms). |
No information available | |
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Historical Data Analysis Can analyze and report on past data for compliance trends. |
Historical reporting and trend analysis described in analytics module. | |
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Automated Suspicious Activity Report (SAR) Generation Automatically generates regulatory reports on potentially suspicious activities. |
No information available | |
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Time to Alert Resolution Average time from alert generation to issue resolution. |
. | No information available |
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Continuous Learning Utilizes machine learning to improve detection accuracy over time. |
No information available | |
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Role-Based Dashboard Views Custom dashboards based on user roles to review ongoing compliance status. |
Role-based dashboards are mentioned as part of data access layer. |
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Comprehensive Audit Trail Logs all system changes, user actions, and compliance events. |
Comprehensive audit logs maintained for all user and data actions. | |
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Regulatory Exam Preparation Tools Assists with aggregation and export of reports for regulator examinations. |
Assists with regulator exam prep by aggregating data and producing reports. | |
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Custom Report Builder Users can build custom compliance and risk reports. |
Allows custom report configuration. | |
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Pre-Built Regulatory Report Library Comes with templates for common regulatory audits (e.g., SEC Form ADV, FINRA 8210). |
Pre-built reporting templates for multiple regulations are provided. | |
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On-Demand Report Generation Reports can be generated at any time, not just on a schedule. |
Reports are generated on demand at any time by users. | |
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Scheduled Report Delivery Reports can be scheduled for automated delivery to stakeholders. |
Reports can be scheduled for automated delivery. | |
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Audit Data Retention Audit logs are retained for a customizable period per regulation. |
Audit logs and reports can be customized for retention by the client. | |
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Regulatory Data Export Formats Support for exporting reports in commonly accepted regulator formats (e.g. XML, CSV, PDF). |
Reports can be exported in several file formats (XLS, CSV, PDF, etc.). | |
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Report Annotation Users can annotate and comment on reports within the system. |
No information available | |
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Automated Report Distribution List Management Manages report distribution lists and ensures correct stakeholders receive regulatory reports. |
No information available | |
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Custom Metrics and KPIs Ability to define and track custom compliance or audit metrics. |
Custom and standard KPIs and metrics are presented in analytic reporting. |
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CRM Integration Integrates with Advisor CRM platforms to pull relevant client/advisor data. |
Product includes integration with advisor and wealth CRM providers. | |
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Document Management System Integration Supports integration with enterprise DMS like SharePoint or Box. |
Integration with third party DMS (SharePoint, Box) is referenced in documentation. | |
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API Availability Provides a documented API for integration with other fintech systems. |
Comprehensive and documented API available for integration. | |
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Data Import/Export Tools Tools for importing and exporting compliance-relevant data. |
Data import and export utilities are described in the implementation materials. | |
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Single Sign-On (SSO) Supports SSO with enterprise identity platforms. |
Single sign-on with major enterprise platforms is supported. | |
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RegTech Vendor Marketplace Integration Connects with external RegTech data feeds and vendors. |
No information available | |
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Integration Documentation Quality Rated quality of API and integration documentation. |
No information available | |
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Integration Turnaround Time Time required to set up integrations with most common systems. |
No information available | |
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Historical Data Synchronization System can synchronize and ingest historical data from external sources. |
System supports importing and synchronizing historical data from various sources. | |
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Event-Driven Integration Supports event-driven triggers and actions from/to external systems. |
No information available | |
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Batch vs. Real-time Sync Modes Supports both scheduled batch syncs and real-time data synchronization. |
No information available |
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Granular Role-Based Permissions Enables detailed access control based on defined roles and responsibilities. |
Role-based and granular permissions system mentioned in suite documentation. | |
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Multi-Level Approval Hierarchies Supports layered approval structures in compliance workflows. |
No information available | |
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User Access Audit Logging Logs all user access and permission changes for security review. |
User access changes and permission changes logged in audit trail. | |
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Time-Based Access Controls Enables temporary, expiring access for audits or special cases. |
No information available | |
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Third Party Vendor Access Management Restricts and audits access for external users/vendors. |
No information available | |
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User Profile Bulk Management Tools Bulk onboard, modify, or offboard user permissions. |
No information available | |
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MFA (Multi-Factor Authentication) Support Supports multi-factor authentication for additional security. |
Product supports multifactor authentication for user access. | |
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Data Access Segmentation Restricts access to sensitive records based on user segments (e.g. office, branch, team, region). |
Segment-based and branch-based data segmentation is available. | |
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Delegated Administration Allows select users to manage user access in their department/unit. |
No information available | |
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Session Timeout Controls Automatically logs out inactive users after set periods. |
No information available | |
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Permission Change Alerting System sends alerts for sensitive permission changes. |
No information available |
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Data Encryption At Rest Encrypts all stored data to prevent unauthorized access. |
FIS emphasizes encryption at rest throughout its compliance infrastructure. | |
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Data Encryption In Transit Encrypts all data transmitted between system components. |
FIS emphasizes encryption in transit as part of their security protocols. | |
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Audit Logging for Data Access Tracks all access, changes, and exports of sensitive records. |
Comprehensive audit logging of all data access in the compliance suite. | |
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Anonymization/Redaction Capabilities Can redact or anonymize client and advisor data where appropriate. |
No information available | |
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GDPR/CCPA Compliance Features Features to support GDPR, CCPA, or other privacy regulations. |
Mentions GDPR/CCPA tools and compliance features. | |
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Data Breach Alerting Automated alerts and response playbooks for data security incidents. |
Automated data breach alerting and incident management included. | |
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Security Certifications Held Indicates the number or types of security certifications (e.g., SOC 2, ISO 27001) held. |
No information available | |
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Client Data Portability Tools Facilitates secure export or transfer of client records per privacy requests. |
Clients can securely export their data upon request. | |
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Data Destruction Verification Automated logs and confirmations for deleted data when required. |
No information available | |
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Encrypted Backup Management All backups are encrypted and access-controlled. |
Backups are encrypted and managed as part of data security compliance. | |
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System Penetration Test Frequency Number of penetration tests conducted per year. |
No information available |
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Intuitive User Interface Modern, user-friendly UI designed for easy navigation. |
Modern, user-friendly dashboard and UI highlighted in client stories. | |
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Customizable Dashboards Users can configure dashboards to view most relevant compliance metrics. |
Customizable dashboards available for different user roles. | |
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Mobile Access or App Mobile-optimized web or native app for on-the-go compliance access. |
Web-based, mobile-optimized access mentioned in marketing materials. | |
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Role-Based Training Modules Tailored training materials and guided onboarding for each user role. |
No information available | |
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In-Application Support Chat Live or AI-based support chat built into application UI. |
No information available | |
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Contextual Help and Tooltips Integrated help widgets, guides, and field-level tooltips. |
Contextual help and tooltips are present throughout the platform. | |
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Adoption Analytics Metrics on feature adoption rates and user engagement. |
No information available | |
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Customizable Branding Platform can be branded with a firm's identity (logos, colors). |
System can be branded with client logo and color palette. | |
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Accessibility Features Meets major accessibility standards (e.g., WCAG 2.1). |
No information available | |
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Feedback Collection in-App Users can submit improvement suggestions and issue reports directly within app. |
No information available | |
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Client-Facing User Experience Easy-to-understand client portals for disclosure or audit interactions. |
Client portal is clearly articulated as a key tool for report delivery. |
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Automated Risk Profiling Automatically assesses compliance risk based on activity patterns. |
Risk profiling and analysis features are mentioned as part of compliance workflow automation. | |
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Customizable Risk Scoring Models Allows firms to tailor risk scoring and weighting to business priorities. |
Risk scoring models and custom weighting are described. | |
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Risk Heatmaps Graphical representations of compliance risks across the firm. |
No information available | |
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Risk Mitigation Workflow Integration Direct links between risk detection and workflow for resolution. |
Risk events can be linked to workflows for resolution. | |
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Loss Event Logging Tracks previous compliance losses and exposure events with analysis. |
No information available | |
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Scenario Stress Testing Runs theoretical compliance failure scenarios to test controls. |
Allows scenario testing for stress and risk testing. | |
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Risk Appetite Settings Firm-level controls for setting acceptable risk thresholds. |
Product supports customizable risk tolerances and thresholds. | |
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KRI (Key Risk Indicator) Tracking Tracks and reports on key risk indicators for regulatory compliance. |
Key risk indicators are included in dashboard reporting. | |
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Automated Risk Mitigation Recommendations System generates actionable recommendations for risk reduction. |
System generates action items and recommendations for risk mitigation. | |
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Risk Event Notification Frequency How frequently the system sends risk alerts. |
No information available | |
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Mitigation Effectiveness Tracking Monitors results of implemented risk controls or mitigations. |
No information available |
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24/7 Support Availability Round-the-clock technical or compliance support for critical issues. |
24/7 support advertised as available to enterprise clients. | |
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Dedicated Account Manager Each client is assigned an account manager for escalations. |
Dedicated account manager allocated to enterprise-level accounts. | |
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SLAs for Issue Resolution Published service-level agreements on ticket response and resolution times. |
SLAs for support and compliance response are published. | |
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Uptime Guarantee / SLA Vendor guarantees a minimum uptime for the platform. |
Guaranteed platform uptime detailed in SLAs. | |
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System Uptime Statistics Platform reports historical uptime performance. |
No information available | |
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In-Product Troubleshooting Tools Self-service troubleshooting and diagnostic tools available to users. |
Self-service troubleshooting and diagnostics are included. | |
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Comprehensive Knowledge Base Extensive online help documentation and user guides. |
Comprehensive knowledge base and user guides available in online portal. | |
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Client Reference Availability Vendor can provide references from similar advisory firms or past clients. |
FIS can provide client case studies and references for regulatory reporting implementations. | |
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Platform Roadmap Transparency Vendor publishes technology/product roadmap to clients. |
Platform roadmap transparency for enterprise clients indicated by vendor. | |
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Frequency of Feature Updates Average number of significant feature updates/releases each year. |
No information available | |
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Incident Response Time Average time to respond to significant incidents. |
No information available |
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