Features a user-friendly interface that accelerates the onboarding of new clients, integrated compliance tools, and seamless data management.
Digital platforms streamlining the account opening process, including KYC (Know Your Customer), AML (Anti-Money Laundering) checks, and documentation management.
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Digital Account Application Allows clients to open accounts electronically through web or mobile platforms. |
The product offers electronic onboarding via a user-friendly interface; product page references fast, automated onboarding online. | |
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Progress Tracking Displays onboarding progress for clients and staff in real time. |
Demo videos and product description show onboarding progress bars for users and advisors. | |
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Pre-filled Forms Automatically fills client forms with known or previously entered data. |
Automated data entry and pre-filling of client information are cited as key accelerators in onboarding on product literature. | |
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Multi-language Support Provides onboarding platform in multiple languages. |
No information available | |
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Multi-currency Support Supports accounts across various currencies. |
Apex supports multi-currency accounts for global clients per product docs. | |
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Customizable Workflows Allows configuration of onboarding steps and requirements per client type. |
Apex references customizable digital workflows as part of its onboarding toolkit. | |
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Branch/Channel Integration Supports initiation at branch, online, or hybrid channels. |
Product supports web/mobile onboarding, and integration with branch/advisor-led experiences. | |
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Bulk Onboarding Enables onboarding of multiple clients in batch. |
Bulk onboarding is available, as evidenced by its support for institutional advisors onboarding multiple accounts. | |
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Onboarding Time Average time to complete an account opening process. |
No information available | |
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Account Types Supported Different types of client accounts supported (e.g., individuals, corporates, trusts). |
No information available | |
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Referral Tracking Tracks referral sources and incentives in onboarding. |
No information available | |
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Cross-device Continuity Clients can start onboarding on one device and resume on another. |
Users can start onboarding on desktop or mobile and continue on another platform (cross-device support). | |
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Error Validation & Guidance Automatically detects errors and provides in-form guidance. |
Onboarding forms offer automated checks and field-level guidance to minimize errors. | |
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API Integration for CRM Connects onboarding process with existing client management systems. |
API integration for CRM and partner platforms is a documented feature. |
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Document Upload Allows clients to upload identification documents securely. |
Clients can upload ID docs securely during onboarding; mentioned under compliance features. | |
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eKYC Integration Supports electronic KYC data sources for instant verification. |
Apex integrates directly with eKYC data sources for verification. | |
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Biometric Verification Uses selfie, face match or fingerprint for identity confirmation. |
Product features biometric identity checks (selfie capture, face matching) for fast compliance. | |
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OCR Extraction Extracts data from documents using Optical Character Recognition. |
Optical character recognition (OCR) is included for document data extraction. | |
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Video KYC Supports client interviews or ID validation through video chat. |
No information available | |
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Sanctions & Watchlist Screening Screens client against global blacklists, sanctions and PEP lists. |
Integrated sanctions/watchlist screening is mentioned as a compliance/control step. | |
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Proof of Address Handling Verifies and stores client proof of address. |
Proof of address upload and automated verification is referenced in onboarding documentation. | |
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Auto-Fail/Flag Criteria Automatically flags or blocks applications with suspect information. |
Suspicious info auto-flagging is provided by embedded AML/KYC checks. | |
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Name Matching Quality Level of accuracy in matching client names to watchlists. |
No information available | |
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Age Verification Checks client meets minimum age requirements. |
Age verification checks are built into onboarding for regulatory compliance. | |
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Source of Funds Collection Collects data on the origin of client funds. |
Onboarding workflow collects information on client income/source of funds. | |
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Real-time KYC Decision Gives instant pass/fail approval for KYC checks. |
KYC/AML status is provided instantly during onboarding, enabling immediate processing. | |
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KYC Reuse Frequency Allows reuse of existing KYC data for returning clients. |
Product allows returning clients to reuse stored KYC information for new applications. | |
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Third-Party Verification Integration Integrates with external KYC, ID, or background-check providers. |
External provider integration for KYC, ID, and AML is supported by API. |
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Politically Exposed Persons (PEP) Screening Searches clients for PEP status using global lists. |
PEP screening is listed as part of AML toolkit. | |
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Transaction Pattern Analysis Analyzes historical client transactions for anomalies. |
Platform supports transaction pattern analysis for AML detection. | |
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Adverse Media Screening Checks clients against negative media databases. |
Adverse media screening is provided through compliance partnerships. | |
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Custom AML Rules Engine Supports creation and management of custom AML rules. |
Customizable AML rules are possible within the onboarding compliance suite. | |
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Dynamic Risk Scoring Assigns risk scores to clients based on profile attributes and behaviors. |
Dynamic risk scoring implemented for ongoing and real-time assessment. | |
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False Positive Rate The proportion of alerts triggered in error by AML screening. |
No information available | |
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Automated Suspicious Activity Report (SAR) Filing Generates and submits SARs automatically for relevant cases. |
SAR preparation and filing automation is listed in compliance workflow materials. | |
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Continuous Monitoring Ongoing surveillance for suspicious patterns during and after onboarding. |
Product offers continuous monitoring, not just point-in-time compliance. | |
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Regulatory Database Updates Frequency of updates to sanction, PEP, and watchlist sources. |
No information available | |
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Alert Escalation Workflow Automated workflows for timely escalation of AML alerts. |
AML alert escalation workflows are automated and configurable. | |
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Audit Logging of AML Actions Keeps a secure, complete log of AML-related actions. |
Secure audit logs of all AML/KYC decisions are documented as part of compliance. | |
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Geographic Risk Assessment Evaluates client risk based on country/jurisdiction. |
Geographic risk assessment baked into onboarding for global compliance. | |
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Real-Time AML Checks Performs AML screening in real time during onboarding. |
Real-time AML checks are run during electronic onboarding. | |
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AML Screening Coverage Number of countries/jurisdictions covered by AML screening. |
No information available |
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Secure Document Storage Stores client documents in secure, encrypted databases. |
Secure, encrypted document storage is referenced in security and compliance materials. | |
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Drag-and-Drop Upload Allows clients to easily upload required documentation. |
Drag-and-drop document upload functionality is promoted for user experience. | |
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Document Format Support Accepts a wide range of file types and sizes. |
Multiple document types and formats are accepted through the platform. | |
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Version Control Tracks changes and maintains history of document uploads. |
No information available | |
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Automated Document Expiry Alerts Notifies staff or clients when documents are out-of-date. |
No information available | |
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In-Platform Documentation Checklist Guides clients to provide required documents for their account type. |
Guided documentation checklist is available for varying account types. | |
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Bulk Document Handling Processes multiple documents at once (e.g. corporate onboarding). |
Bulk document submission/handling supported for institutional onboardings. | |
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Digital Signature Capture Supports electronic signature for contracts and agreements. |
Electronic/digital signature capture constitutes part of application completion. | |
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Data Extraction Automation Automates data capture from uploaded documents. |
Automated data extraction from documents referenced in compliance automation section. | |
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Document Retention Policy Automation Automates document deletion or archiving according to compliance policy. |
Data/document retention and archiving for compliance is managed automatically. | |
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Personal Data Masking Masks sensitive information on stored or displayed documents. |
Personal data masking and encryption is referenced in security documents. | |
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Document Validation Rate Proportion of documents automatically validated by the system. |
No information available | |
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Mobile Document Capture Enables document upload via mobile camera with cropping and enhancement. |
Document upload from mobile with auto-cropping is supported. | |
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Data Entry Field Validation Checks format and completeness of client-entered data. |
All data entry points are validated for completeness and correctness. |
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Open API Availability Supports open RESTful APIs for custom integrations. |
Apex provides open RESTful API for integration with other platforms. | |
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Core Banking Integration Links onboarding to core banking/brokerage systems for seamless account provisioning. |
Integration with core brokerage, banking and portfolio systems via API. | |
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Third-party Middleware Support Supports integration with middleware and other orchestration tools. |
Middleware integration is supported by the API suite documentation. | |
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KYC/AML Provider Connections Out-of-the-box connections to KYC and AML data/verification providers. |
Standard integrations available for KYC and AML providers. | |
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CRM Integration Synchronizes data with customer relationship management systems. |
CRM data sync/integration is available for partners and institutions. | |
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eSignature Service Integration Built-in integrations with external e-signature providers. |
Integration with leading e-signature services is supported. | |
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Real-Time Data Sync Pushes onboarding data in real time to connected systems. |
Onboarding events/data are synced in real time via API. | |
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Webhooks/Notifications Supports automated callbacks or notifications to external systems. |
Webhooks and notification support for integration with external platforms. | |
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SCIM/Directory Integration Supports enterprise identity directories for user sync and SSO. |
No information available | |
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SSO/SAML Authentication Enables single sign-on for advisors and staff. |
Single sign-on options (OAuth, SAML) supported for partner/advisor login. | |
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Data Import/Export Tools Allows bulk migration into/out of the onboarding system. |
Bulk migration tools are referenced for operational onboarding and data export. | |
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Custom Web Portal Widgets Embeddable onboarding components into external portals. |
Embeddable onboarding widgets offered for partner portals. | |
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Integration Throughput Number of API calls or integration operations supported per second. |
No information available | |
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Event-Driven Workflow Triggers Support for automating workflows based on system events. |
Workflow automation can be triggered by onboarding events. |
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Responsive Web Design Optimized for desktop, tablet, and smartphone viewing. |
Onboarding experience is responsive to all devices and display types. | |
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Accessibility Compliance Adheres to WCAG or other accessibility standards (e.g., screen reader support). |
No information available | |
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Guided Walkthroughs Provides dynamic, step-by-step onboarding assistance. |
Dynamic onboarding walkthroughs/guides are included in interface. | |
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Live Chat Support Integration Embedded chat functionality for real-time support. |
Real-time live chat support is available and referenced in onboarding documentation. | |
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Personalized Client Dashboards Custom onboarding status and document request views. |
Client dashboards track onboarding progress/status and pending documentation. | |
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Task Reminders Automated onboarding reminders via email/SMS/in-app alerts. |
Automated email/SMS onboarding reminders feature is included. | |
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Satisfaction Feedback Collection Built-in tools to survey client experience and collect feedback. |
Satisfaction and feedback forms are present post-onboarding. | |
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Multi-Lingual Forms Forms available in several languages for client comfort. |
Multi-lingual onboarding forms are available for diverse client base. | |
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Progress Save and Resume Clients can pause and resume onboarding without data loss. |
Clients can save and resume onboarding at any point from any device. | |
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Average User Steps to Completion Average number of screens/entries required for onboarding completion. |
No information available | |
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Mobile App Availability Onboarding can be completed through a iOS/Android app. |
Mobile app onboarding support is referenced for both iOS and Android. | |
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PDF Generation of Completed Applications Produces client-ready downloadable/printable PDFs post-onboarding. |
After onboarding, application PDF generation is supported for compliance and client records. | |
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Session Timeout Handling Manages long or abandoned sessions with appropriate alerts. |
Session timeouts and warnings are implemented in the product UI. | |
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Dark Mode User interface supports dark/light visual themes. |
No information available |
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Regulatory Rule Engine Configurable logic for jurisdiction-specific account opening requirements. |
Country/jurisdictional rule engines can be configured for multi-country onboarding. | |
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Audit Trail Comprehensive logs of all significant onboarding actions and changes. |
Full audit trail and event logs are maintained for all onboarding actions. | |
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GDPR/CCPA Compliance Tools Supports compliance with data privacy and protection regulations. |
References to GDPR and CCPA compliance are found throughout compliance documentation. | |
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Reporting to Regulators Automated and scheduled submission of required regulatory reports. |
Automated regulatory filing and reporting included, as cited in marketing materials. | |
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Retention Policy Configuration Flexible setup of data/document retention as per regulation. |
Configurable data/document retention policy for compliance is mentioned. | |
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Consent Management Records and manages client consent for data processing. |
Product retains, manages, and queries client consent through onboarding. | |
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Multi-jurisdiction Support Adapts onboarding for multiple countries’ legal requirements. |
Supports onboarding for clients based in multiple legal jurisdictions. | |
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Role-based Access Controls Defines staff authority levels by account/role. |
Role-based access to data and workflow configurations according to user type. | |
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Sanctions List Auto-Update Frequency Frequency of automatic updates for regulatory lists. |
No information available | |
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Privacy Notice Customization Allows custom messaging and documentation of privacy policies. |
Custom privacy notice templates are available in onboarding workflow. | |
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Real-time RegTech Updates Automatic updates for new compliance policies and rules. |
Updates for compliance policies are automatically pushed to the onboarding system. | |
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Encrypted Data Transmission All data transfer encrypted end-to-end. |
Product documentation references end-to-end encryption in transit. | |
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Compliance Dashboard Centralized overview of ongoing compliance metrics/status. |
Compliance dashboard provides live compliance status and task monitoring. | |
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Exception Management Workflows for managing regulatory exceptions and overrides. |
No information available |
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Rule-based Task Assignment Automatically assigns onboarding steps to staff based on logic. |
Onboarding steps task assignment is automated by configurable logic. | |
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Automated Approval Routing Forwards cases through approval chains per requirements. |
Approvals are routed to the correct decision makers based on workflow configuration. | |
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Escalation Triggers Automatic escalation of pending or failed onboarding cases. |
Escalation triggers for incomplete or flagged onboardings are built into workflow. | |
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Workflow Visualization Graphical dashboards showing process flows and bottlenecks. |
Process visualization dashboards are referenced in product UI documents. | |
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Event-Driven Notifications Automated alerts for status changes or required actions. |
Event-driven notifications are sent for required actions/status changes. | |
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Bulk Processing Capacity Maximum number of onboarding cases handled simultaneously. |
No information available | |
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Custom Task Types Ability to introduce new types or categories of onboarding work. |
Admins can define and automate custom onboarding task types. | |
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Parallel Task Execution Supports concurrent processing of independent tasks. |
Parallel processing of onboarding tasks is referenced in scalability info. | |
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Automated Data Validation Checks data for accuracy before moving to the next step. |
Automated data validation is required before onboarding can advance. | |
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SLAs and Turnaround Time Tracking Tracks time to completion of each step versus service targets. |
SLAs and turnaround times tracked for each onboarding process step. | |
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Task Completion Analytics Reports on task status, rates, and completion times. |
Task completion analytics are available as management reports. | |
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Self-Service Process Initiation Allows clients to initiate processes without staff involvement. |
Clients can self-initiate onboarding through the portal. | |
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Custom Process Templates Library of reusable workflow templates. |
Prebuilt onboarding templates are available and reusable for process configuration. | |
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Process Exception Handling Rate Proportion of tasks completed with human intervention. |
No information available |
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Real-time Reporting Instant access to live onboarding metrics. |
Onboarding dashboards show real-time metrics to management and advisors. | |
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Onboarding Funnel Analytics Tracks conversion, drop-off, and completion rates. |
Funnel analytics, including drop-off and conversion, are core management dashboard features. | |
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Custom BI Report Builder Drag-and-drop/dashboard-style report and analytics builder. |
BI-style drag-and-drop reporting referenced in user documentation. | |
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Audit-Ready Logs Maintains audit logs for all major actions/events. |
Audit-ready logs are maintained on all onboarding activities. | |
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Automated Exception Reports Scheduled exception/outlier detection and reporting. |
Automated reporting of exception status is available in analytics suite. | |
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Export to Excel/CSV/PDF Exports all analytics and records to standard formats. |
Data and report exports to Excel/CSV/PDF are supported. | |
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Alert Threshold Customization Set custom thresholds for real-time alerts or reports. |
Custom thresholds for onboarding alerts and compliance can be set in admin tools. | |
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Historical Data Retention Duration Period for which analytics data is stored for review/reporting. |
No information available | |
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Custom Dashboard Widgets Configurable widgets to add/remove analytics on dashboards. |
Configurable dashboard widgets are supported for end-users and administrators. | |
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Automated Compliance Reporting Generates regulatory reports automatically from onboarding data. |
Automated compliance reports generated from onboarding workflow. | |
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Team Performance Metrics Compares staff/team onboarding rates and efficiency. |
Team performance analytics on onboarding throughput and efficiency are available. | |
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Conversion Rate Tracking Tracks percentage of started-to-completed onboardings. |
undefined Onboarding conversion rate dashboard available for operational review. |
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Time to Approval Measures average time from submission to approval. |
No information available | |
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Error/Issue Logging Automatically logs operational issues or errors for review. |
Operational errors are automatically logged and reported in analytics. |
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AES-256 Encryption Industry-standard encryption for data at rest and in transit. |
Industry-standard AES-256 encryption used for data in transit and at rest. | |
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Multi-factor Authentication (MFA) Requires users to authenticate with multiple credentials. |
Product supports MFA for user, client, and advisor access. | |
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Penetration Testing Frequency Frequency of external independent penetration test audits. |
No information available | |
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Vulnerability Scanning Regular scans for known vulnerabilities in the application. |
Continuous vulnerability scanning is described under ongoing platform security practices. | |
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Data Loss Prevention Features Automated detection and blocking of unauthorized data exfiltration. |
Data loss prevention and monitoring are included among compliance tools. | |
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SSO/OAuth Support Supports single sign-on and OAuth credentials. |
Supports SSO/OAuth, including SAML and OAuth logins for staff/partners. | |
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ISO 27001/SOC 2 Compliance Certified with or conforms to major international security standards. |
Apex is SOC 2 compliant and ISO 27001 certified. | |
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Activity & Access Monitoring Monitors and logs all access attempts and activity. |
Activity and access monitoring tools described in the platform's admin features. | |
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User Access Reviews Scheduled auditing of user permissions and access. |
User access/permissions audits scheduled as part of operational compliance. | |
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Secure Download/Print Controls Restricts and audits downloads or prints of sensitive documents. |
Controls and logging for secure download/print cited in compliance materials. | |
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Field-level Data Encryption Sensitive fields (e.g., SSN, passport number) encrypted individually. |
Sensitive field-level encryption documented in platform security guide. | |
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Client-side Encryption Encryption applied before data leaves end-user devices. |
No information available | |
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Data Breach Notification Automation Automates regulatory and client notification in the event of a breach. |
Automated regulatory and client notification for data breaches is included in legal/compliance pack. | |
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Secure Data Wipe Supports secure deletion of client data and documents. |
Secure data wipe and deletion processes in place for client data. |
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Concurrent User Capacity Maximum number of users supported at once. |
No information available | |
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System Uptime SLA Guaranteed percentage of system operational time. |
No information available | |
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Onboarding Throughput Number of onboarding applications processed per hour. |
No information available | |
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Geographically Redundant Hosting Supports data center redundancy in multiple regions. |
Geographic redundancy is referenced in business continuity practices. | |
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Automated Load Balancing Distributes workloads for high performance. |
Automated load balancing described under platform scalability. | |
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Cloud Native Architecture Built using scalable, cloud infrastructure. |
Platform is built on a cloud-native architecture per technical documentation. | |
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Zero Downtime Maintenance Capability Upgrades and patches without taking platform offline. |
No information available | |
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Performance Monitoring Dashboards Live metrics such as response time and error rates. |
Product offers live monitoring dashboards for operational/performance data. | |
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Queueing and Autoscaling Automatic scaling based on demand, with queueing for excess load. |
Platform autoscaling and user request queueing referenced in API documentation. | |
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Disaster Recovery RTO/RPO Maximum Recovery Time/Point Objectives after a disaster. |
. | No information available |
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API Rate Limiting Configurable limits for external integrations to maintain performance. |
API rate limiting is configurable to protect system performance. | |
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Processing Latency Average time to process a single onboarding application. |
No information available | |
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Outage Notification Speed Time taken to notify stakeholders of platform outages. |
No information available | |
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Data Partitioning/Segmentation Allows isolation of data for business lines or legal entities. |
Data partitioning by entity, line-of-business, and client possible with platform deployments. |
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24/7 Client & Staff Support Around-the-clock vendor support for technical and procedural queries. |
24/7 client and staff support referenced on the vendor's support pages. | |
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Dedicated Account Manager Named relationship manager for the brokerage firm. |
Dedicated account manager service mentioned under institutional onboarding support. | |
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Custom Implementation Services Availability of professional services for onboarding rollout. |
Custom professional/implementation services available via Apex professional services. | |
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Online Knowledge Base Comprehensive self-help and learning materials. |
Comprehensive online knowledge base provided at apexclearing.com/support. | |
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End-User Training Delivery Structured client or staff onboarding training programs. |
End-user training and onboarding support is advertised in the onboarding solution overview. | |
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SLA for Incident Resolution Guaranteed maximum vendor response times for incidents. |
No information available | |
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Product Update Roadmap Published and transparent release roadmap for clients. |
Product and feature roadmap is published and available to institutional partners. | |
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Custom Feature Request Channels Clients can submit and track requests for new features. |
Custom feature request submission described in partners' support documentation. | |
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Release Notes & Changelog Access Proactive communication of new/enhanced features. |
Detailed release notes and changelogs are proactively provided to clients. | |
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Service Health Monitoring Portal Live status and incident tracking for the platform. |
Live service/health monitoring portal is available for enterprise clients. | |
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Escalation Matrix for Support Documented escalation path for unresolved support issues. |
Documented escalation process for support/escalated tickets is maintained. | |
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Multi-Channel Support (email/phone/chat) Support delivered over several communication channels. |
Support is available via email, phone, and chat channels. | |
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Annual Review Meetings Scheduled business/technical review with vendor. |
Annual review meetings are provided for institutional partners per service commitment. | |
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Third-Party Audit Availability Audit reports and certifications available to clients. |
Third-party security, compliance, and audit certificates are available upon request. |
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