A modular platform covering AML, fraud detection, sanctions screening, regulatory compliance reporting, and monitoring tailored specifically for financial industry clients.
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
More Compliance and Risk Management ...
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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. |
Platform supports EU, UK, US, Asia-Pacific (APAC) regulations, according to website. | |
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Real-Time Regulatory Updates The system provides real-time updates when regulations change. |
ACTICO advertises real-time regulatory change management (website: 'always up to date with regulatory changes'). | |
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Custom Rule Mapping Ability to create or modify mappings to custom company-specific compliance policies. |
Custom rule mapping and adaptable workflows are core claim on website and product datasheet. | |
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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. |
Uses AI for regulatory interpretation – explicit mention of NLP and ML for regulatory context analysis. | |
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Rule Version Tracking Tracks historical versions of regulations for comparison and audit. |
Change management and version tracking features highlighted in documentation. | |
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Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation. |
Exception and case management modules are part of standard configuration. | |
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Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations. |
Update logs and traceability for regulatory changes are standard (see 'Audit Trail' in documentation). | |
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Regulatory Library Export Capability Ability to export all regulatory content for offline analysis. |
Export/Reporting capabilities included (custom and complete regulatory library export in documentation). | |
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Integration with Legal Resources Embeds or links to official legal interpretations or legal counsel resources. |
Direct integration with legal resources and regulatory interpretation partners mentioned in platform brochure. |
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Automated Disclosure Generation Automatically generates required client disclosures according to regulatory guidelines. |
Disclosure automation is featured, especially for regulatory reporting and client notices. | |
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Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items. |
Approval workflows and routing are configurable in ACTICO Workflow Engine. | |
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Task Assignment Automation Automatically assigns compliance tasks to relevant parties based on roles, locations, or other rules. |
Task assignment and case management are workflow features by default. | |
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Workflow Customization Ability to design and modify custom compliance workflows. |
Custom workflow builder enables workflow customization. | |
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Escalation Triggers Automatically escalates issues or breaches to compliance officers and key stakeholders. |
Escalation triggers based on rule violations and user configuration are standard. | |
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Compliance Calendar Management Tracks and automates key dates and deadlines for compliance actions. |
Compliance calendar and key date tracking capabilities are mentioned in help content. | |
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Automated Notifications System sends alerts and reminders for upcoming or overdue compliance actions. |
Automated notifications and reminders are core platform features. | |
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Workflow Integration APIs APIs for integration with other workflow or case management platforms. |
REST APIs and workflow integration documented on actico.com. | |
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Bulk Action Processing System can process compliance workflows for multiple clients simultaneously. |
Platform supports batch/bulk workflow processing – included in 'mass processing' workflow claims. | |
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Workflow Audit Logging All automated actions and manual interventions are logged for later review. |
Workflow and audit logging for all system actions stated as a compliance feature. | |
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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. |
Template libraries for disclosures and regulatory documentation are available per marketing materials. | |
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Automated Document Delivery System automatically delivers disclosures and forms to clients and tracks receipt. |
Document delivery and tracking (including e-delivery) are part of documentation and system demos. | |
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E-signature Integration Integrated support for e-signatures on compliance documents. |
Integrates with e-signature providers according to integration documentation. | |
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Version Control for Documents Tracks historical versions and updates to compliance documentation. |
Tracks version history of all uploaded compliance documentation. | |
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Secure Storage of Documents All disclosures and supporting documents are stored securely and encrypted. |
Document storage is encrypted; security certifications and controls referenced. | |
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Document Retention Policy Automation Automatically enforces document retention and deletion policies per regulation. |
Platform can enforce retention and deletion rules based on regulatory requirements. | |
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Client Portal Access Clients can view/download compliance disclosures via secure web portal. |
Secure client portal access to disclosures described in product content. | |
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Document Searchability Full-text search across all disclosures and compliance documentation. |
Documents are fully searchable (full-text search) as a platform feature. | |
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Bulk Document Processing Ability to generate or process documents in bulk for multiple clients. |
Bulk document processing supported (for batch notices/disclosures). | |
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Automated Acknowledgement Tracking Automatically tracks client acknowledgement of received disclosures. |
Acknowledgement tracking is featured for client disclosures and forms. | |
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Document Sharing Controls Granular controls over who can view, download, or share compliance documents. |
Document sharing controls are listed among security features in technical docs. |
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Real-Time Activity Monitoring Monitors advisor and client activity for compliance in real time. |
Real-time monitoring functionality for user/advisor activity is described in AML/Fraud/Surveillance modules. | |
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Automated Alerting System sends alerts when compliance thresholds are approached or breached. |
System sends automated alerts for compliance events and policy breaches. | |
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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. |
Customizable monitoring rules and logic are a core feature (rule engine). | |
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Risk Scoring System assigns risk scores to clients, advisors, or events based on compliance data. |
Risk scoring is explicitly offered for clients, transactions, and advisors. | |
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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 data analysis and retrospective reporting featured under 'analytics.' | |
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Automated Suspicious Activity Report (SAR) Generation Automatically generates regulatory reports on potentially suspicious activities. |
Automated SAR (Suspicious Activity Report) generation is included in AML module. | |
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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. |
Machine learning used throughout for continual improvement in detection (see marketing claims, solution whitepaper). | |
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Role-Based Dashboard Views Custom dashboards based on user roles to review ongoing compliance status. |
Role-based dashboards and reporting are available for compliance, risk, and management roles. |
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Comprehensive Audit Trail Logs all system changes, user actions, and compliance events. |
Comprehensive audit trail for all user/system actions detailed in platform documentation. | |
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Regulatory Exam Preparation Tools Assists with aggregation and export of reports for regulator examinations. |
Regulatory exam prep tools offered for exam/audit facilitation. | |
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Custom Report Builder Users can build custom compliance and risk reports. |
Custom reporting (including complex risk/compliance reports) available via integrated builder. | |
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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 regulatory report templates provided for common reporting categories (including standard regulatory forms). | |
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On-Demand Report Generation Reports can be generated at any time, not just on a schedule. |
On-demand report generation available in reporting interface. | |
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Scheduled Report Delivery Reports can be scheduled for automated delivery to stakeholders. |
Reports can be scheduled for future/automatic delivery to stakeholders. | |
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Audit Data Retention Audit logs are retained for a customizable period per regulation. |
Audit log retention is configurable to satisfy diverse regulatory requirements. | |
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Regulatory Data Export Formats Support for exporting reports in commonly accepted regulator formats (e.g. XML, CSV, PDF). |
Supports export of reports in CSV, XML, PDF and other formats. | |
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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. |
No information available |
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CRM Integration Integrates with Advisor CRM platforms to pull relevant client/advisor data. |
CRM integration supported (with standard financial CRMs). | |
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Document Management System Integration Supports integration with enterprise DMS like SharePoint or Box. |
Integrates with document management systems like SharePoint, Box, etc. | |
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API Availability Provides a documented API for integration with other fintech systems. |
Provides open APIs for integration; API documentation available to clients. | |
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Data Import/Export Tools Tools for importing and exporting compliance-relevant data. |
Import/export tools for compliance data are described in help files and admin documentation. | |
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Single Sign-On (SSO) Supports SSO with enterprise identity platforms. |
SSO support for major identity providers documented (SAML, OAuth, etc). | |
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RegTech Vendor Marketplace Integration Connects with external RegTech data feeds and vendors. |
Integrates with external regtech data sources and third-party vendors. | |
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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. |
Can ingest and synchronize historical data from external sources (including prior transactional and compliance histories). | |
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Event-Driven Integration Supports event-driven triggers and actions from/to external systems. |
Supports event-driven and real-time integrations. | |
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Batch vs. Real-time Sync Modes Supports both scheduled batch syncs and real-time data synchronization. |
Sync can be set up for real-time and batch modes for external data flows. |
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Granular Role-Based Permissions Enables detailed access control based on defined roles and responsibilities. |
Granular user permission system (role-based control) referenced throughout admin guides. | |
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Multi-Level Approval Hierarchies Supports layered approval structures in compliance workflows. |
Multi-level approval hierarchies supported in workflow/rule setup. | |
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User Access Audit Logging Logs all user access and permission changes for security review. |
User access audit logs/permission changes are tracked. | |
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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. |
Supports vendor/user access segmentation and monitoring features. | |
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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. |
MFA (Multi-Factor Authentication) support listed as standard security capability. | |
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Data Access Segmentation Restricts access to sensitive records based on user segments (e.g. office, branch, team, region). |
System offers data access controls by segment/region/team as per admin guides. | |
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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. |
Session timeouts and idle logout configurable through admin interface. | |
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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. |
All at-rest data is encrypted; certifications like ISO27001/SOC2 referenced. | |
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Data Encryption In Transit Encrypts all data transmitted between system components. |
Data in transit secured using TLS 1.2/1.3 as per technical overview. | |
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Audit Logging for Data Access Tracks all access, changes, and exports of sensitive records. |
Audit logging for data access (who/when/what) is a documented feature. | |
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Anonymization/Redaction Capabilities Can redact or anonymize client and advisor data where appropriate. |
Anonymization/redaction for certain compliance use-cases described as part of GDPR module. | |
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GDPR/CCPA Compliance Features Features to support GDPR, CCPA, or other privacy regulations. |
GDPR, CCPA, international privacy compliance modules are available. | |
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Data Breach Alerting Automated alerts and response playbooks for data security incidents. |
Platform provides for data breach alerting, monitoring, and playbooks. | |
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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. |
Provides secure data export tools for client portability, as mandated under GDPR/CCPA. | |
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Data Destruction Verification Automated logs and confirmations for deleted data when required. |
Data destruction audit/verification is featured in privacy modules for compliance. | |
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Encrypted Backup Management All backups are encrypted and access-controlled. |
Backups encrypted and controlled as part of standard security package. | |
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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, intuitive UI praised in independent reviews and demonstrated in product tours. | |
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Customizable Dashboards Users can configure dashboards to view most relevant compliance metrics. |
User dashboards are configurable for compliance officers, managers, etc. | |
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Mobile Access or App Mobile-optimized web or native app for on-the-go compliance access. |
Mobile web interface with optimized UX available; no evidence of native app. | |
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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. |
Integrated help and tooltips available across application interface. | |
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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). |
Branding and white-label options referenced in marketing material. | |
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Accessibility Features Meets major accessibility standards (e.g., WCAG 2.1). |
Accessibility (WCAG) support outlined in technical and RFP documentation. | |
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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 UI designed for non-expert users, with easy disclosure/audit/report access. |
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Automated Risk Profiling Automatically assesses compliance risk based on activity patterns. |
Automated risk profiling for clients/advisors described in Risk Management module. | |
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Customizable Risk Scoring Models Allows firms to tailor risk scoring and weighting to business priorities. |
Risk scoring models are configurable by end users/administrators. | |
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Risk Heatmaps Graphical representations of compliance risks across the firm. |
Risk dashboards include heatmap visualization of risks and exposures. | |
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Risk Mitigation Workflow Integration Direct links between risk detection and workflow for resolution. |
Risk detection is natively linked to workflow processes for resolution. | |
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Loss Event Logging Tracks previous compliance losses and exposure events with analysis. |
Loss event and incident logging included for regulatory compliance and internal exposure tracking. | |
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Scenario Stress Testing Runs theoretical compliance failure scenarios to test controls. |
Scenario stress testing is part of risk assessment framework tools. | |
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Risk Appetite Settings Firm-level controls for setting acceptable risk thresholds. |
Firms can set global or entity-level risk appetite and tolerance, with alerting. | |
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KRI (Key Risk Indicator) Tracking Tracks and reports on key risk indicators for regulatory compliance. |
Risk indicator tracking and reporting is a standard feature in analytics/risk modules. | |
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Automated Risk Mitigation Recommendations System generates actionable recommendations for risk reduction. |
Automated recommendations for mitigation included as decision support in risk dashboard. | |
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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. |
Tracks effectiveness of risk mitigations; module for tracking mitigation outcomes. |
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24/7 Support Availability Round-the-clock technical or compliance support for critical issues. |
24/7 support/response hotline offered (premium support available). | |
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Dedicated Account Manager Each client is assigned an account manager for escalations. |
Dedicated account managers provided for large/enterprise and regulated clients. | |
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SLAs for Issue Resolution Published service-level agreements on ticket response and resolution times. |
Service Level Agreements (SLAs) for support/ticket resolution are standard (referenced in datasheet). | |
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Uptime Guarantee / SLA Vendor guarantees a minimum uptime for the platform. |
Uptime guarantee of 99.9% (enterprise SLA) documented on actico.com. | |
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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 suite and diagnostics are featured in user portal. | |
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Comprehensive Knowledge Base Extensive online help documentation and user guides. |
Comprehensive online knowledge base with product, regulatory, and troubleshooting documents. | |
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Client Reference Availability Vendor can provide references from similar advisory firms or past clients. |
List of client references and case studies available on request according to sales. | |
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Platform Roadmap Transparency Vendor publishes technology/product roadmap to clients. |
Platform and product development roadmap documented and available (by NDA or to customers). | |
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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 |
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.
More Audit Trail Systems
More Compliance and Risk Management ...
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
ACTICO Compliance Suite logs and monitors a wide range of client communications and transactions to meet compliance requirements. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Platform documentation and financial compliance requirements ensure audit logs with automatic timestamping are maintained. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Document upload and evidence management features are common in compliance and case management modules (confirmed on feature list). | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Editable notes are supported for contextual information in investigations and compliance reviews. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Version history is a standard compliance requirement and referenced in product documentation for auditability. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
No information available | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Bulk import/export supported for migration and regulatory data extraction (from documentation and case study references). | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
No information available |
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search and filtering is explicitly stated as a core platform function. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Customizable and exportable reports for compliance reviews are listed as features. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
No information available | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Ability to save and schedule key reports evidenced by compliance workflow automation features. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based access to compliance data referenced in documentation and security sections. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk extraction is available for regulatory response and audits. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
No information available | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
No information available |
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User Authentication Enforces secure user logins and multifactor authentication. |
Secure user logins and multifactor authentication are standard and detailed in product security sheets. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Granular role and permission controls are described to ensure regulatory data segregation. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Encryption at rest is an expected cybersecurity feature for this market; referenced in security claims. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Data in transit encryption (TLS/SSL) is a standard feature for financial sector platforms per documentation. | |
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Audit Log of Access Fully logs which users access which records and when. |
Access audits (logging users, timestamps, searches) are part of compliance monitoring in product features. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Session timeout and automatic logout are standard security controls for compliance suites. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
No information available | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Regulatory reporting templates are mentioned for key global and regional regimes. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
ACTICO policy rule engine allows firms to define custom triggers and alerts, as per solution documentation. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Audit and compliance readiness dashboards are promoted as part of automated compliance workflow. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
Automated updates for regulatory changes described, especially for AML and KYC compliance. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Exception, risk, and issue alerts in workflow automation are documented as core compliance offerings. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom compliance reports for multiple regimes and client requirements noted as a selling point. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
E-signature support for documentation and regulatory purposes stated on the ACTICO site. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
No information available | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Retention rules are automated according to compliance frameworks and client policies. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
ACTICO exposes APIs for integration with external systems as per integration documentation on their site. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Supports integration with core banking and trading platforms (pre-built connectors listed). | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Email and communication capture modules are available for key compliance monitoring. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Integration with document management and e-signature is part of the offering, supporting compliance documentation. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
No information available | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
The system supports webhook-based notification triggers to external workflow systems. | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
Mobile app access and compliance on-the-go are stated in ACTICO literature. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
No information available | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom connectors and interoperability via open API is explicitly referenced (for customer-specific integrations). |
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Disaster recovery and failover support is mentioned explicitly in ACTICO technical and compliance documents. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
No information available | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Deployment flexibility (on-premise and cloud) is emphasized in their product collateral. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
ACTICO supports scalable infrastructure per customer use case and compliance demand. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
System uses load balancing for high availability and performance (found in technical documentation). | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
No information available |
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
No information available | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
No information available | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
Multi-language user interface support is cited, especially for international clients. | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
No information available | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Web platform supports mobile responsiveness as indicated by multi-device access support. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
No information available | |
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Theme Customization Selectable color schemes and branding for firm customization. |
Theme customization and firm-level branding are highlighted for corporate deployments. | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
No information available |
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom triggers and alert workflows are enabled through policy engine and workflow configuration. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Automated task assignments and follow-ups are available as part of regulatory workflow automation. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Escalation of unaddressed compliance items is featured in the workflow automation toolkit. | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
Integration with advisor calendars for reminders is offered via APIs and workflow configuration. | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
Visual workflow builder is available in enterprise customization features. | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
No information available | |
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Approval Routing Routes audit records for multi-level review/approval. |
No information available | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Real-time notifications and workflow status updates are supported for audits and compliance tasks. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic lockdown to prevent alteration under investigation is standard for regulatory case management. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
Anomaly detection and suspicious activity monitoring are core to the AML and fraud detection modules. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Activity timeline reconstruction is part of investigation tooling for auditors and compliance staff. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
No information available | |
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Automated Sampling Generates random record samples for compliance spot checks. |
No information available | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Case management and tracking of investigations are supported within the suite. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Evidence linking function available in investigations. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
Platform can flag incomplete or inactive records for regulatory purposes. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
No information available | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
No information available |
|
Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom fields can be created in ACTICO workflows to adapt to client needs. | |
|
Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Template and form builders offered for case and compliance management modules. | |
|
Scriptable Actions Develop custom scripts triggered by audit events. |
Scriptable/customized actions can be triggered on compliance events, per advanced platform documentation. | |
|
Custom Branding Upload logos, firm colors, and themes. |
Custom branding described as part of enterprise deployment options. | |
|
Localization Support Adapt layouts and content for global offices. |
No information available | |
|
Plug-In Architecture Extend system with custom developed plug-ins or modules. |
No information available | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
. | No information available |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
User roles can be defined and managed flexibly, as indicated in administration documentation. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
|
Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
Developer documentation, SDK, and integration guides are available publicly. |
|
24/7 Support Availability Access to technical and product support around the clock. |
24/7 support available for global financial compliance clients, per ACTICO support SLA. | |
|
Onboarding Assistance Step-by-step guidance for implementation and user training. |
Implementation onboarding and staff training included as part of deployment (listed in customer onboarding sections). | |
|
Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Extensive online knowledge base and documentation is available on the ACTICO website. | |
|
Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
No information available | |
|
Certification Programs Official user or admin certification offered. |
No information available | |
|
Multi-Language Support Support and help materials available in multiple languages. |
Support and knowledge base material in multiple languages for international clients. | |
|
Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Release notes and product roadmap visibility are available in the customer support portal. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
No information available | |
|
Customer Success Manager Dedicated success representative for large accounts. |
No information available | |
|
Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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