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RegTechONE from AML Partners

Browser-based AML/KYC software for client onboarding, risk scoring, transaction monitoring, sanctions screening, workflow, and complete case management for brokerage industry compliance.

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Product analysis by function

AML/KYC Compliance Software for Compliance

Systems for screening clients against watchlists, monitoring transactions for suspicious activity, and maintaining regulatory compliance documentation.
More AML/KYC Compliance Software More Compliance ...

Client Screening and Onboarding
(8 Yes /8 Known /11 Possible features)

Transaction Monitoring
(8 Yes /8 Known /11 Possible features)

Watchlist Management
(7 Yes /7 Known /10 Possible features)

Case Management and Workflow
(7 Yes /7 Known /10 Possible features)

Regulatory Compliance and Reporting
(7 Yes /7 Known /10 Possible features)

Integration and Interoperability
(6 Yes /6 Known /10 Possible features)

User Interface and Usability
(7 Yes /7 Known /10 Possible features)

Security and Data Protection
(8 Yes /8 Known /10 Possible features)

Scalability and Performance
(4 Yes /4 Known /10 Possible features)

Maintenance and Support
(8 Yes /8 Known /10 Possible features)

Cost and Licensing
(6 Yes /7 Known /10 Possible features)

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Identity Document Verification Ability to verify government-issued identity documents (passports, national IDs, etc.) electronically.		Product notes specify functionality for KYC client onboarding; AML/KYC supplier claims support for government ID verification.
Facial Recognition/Matching Matches client-provided photos with ID documents using facial recognition technology.		RegTechONE lists facial recognition as part of its KYC onboarding process, cited on vendor website.
Sanction List Screening Checks clients against global and local sanction, PEP, and watchlists.		Sanctions screening is a core RegTechONE module (see product page).
Adverse Media Screening Searches for negative news related to clients using media and public data sources.		Product page notes adverse media checks as part of risk controls.
Ongoing Customer Monitoring Continuously screens existing clients for changes in status or newly published risks.		Described as having ongoing monitoring for client risk and alerts in RegTechONE brochure.
Risk Scoring Engine Assigns dynamic risk scores to clients based on risk factors and behaviors.		Product has a dynamic configurable risk-scoring engine per marketing documentation.
Regulatory Jurisdiction Coverage Number of countries or jurisdictions supported for compliance checks.		No information available
Language Support Number of languages supported for global client onboarding and screening.		No information available
Enhanced Due Diligence Handling Supports additional data collection and review for high risk clients.		Enhanced due diligence and special workflows for high-risk clients are advertised.
Batch Processing Capability Ability to process multiple client screenings at once.		No information available
Customizable Screening Criteria Allows modification of threshold and parameters for screening rules.		Customizable risk and screening parameters can be set by user per product documentation.

Real-Time Transaction Monitoring Automatically scans transactions for suspicious patterns as they occur.		Real-time transaction monitoring is listed as a feature on RegTechONE's transaction monitoring solution page.
Behavioral Pattern Detection Uses profiling and analytics to detect unusual or unexpected patterns.		Behavioral analytics and pattern recognition for risk noted as part of RegTechONE’s analytics modules.
Rule-Based Alert System Configurable rules trigger alerts for pre-defined risk scenarios.		Configurable alerting rules for pre-defined scenarios are mentioned in various solution brochures.
Machine Learning/AI Analytics Employs AI models to detect previously unknown or emerging risks.		Uses AI/ML models to detect new/emerging risks, per product's technical summary.
Alert Prioritization Ranks alerts based on severity and risk relevance for efficient case handling.		Alert scoring and prioritization is available per monitoring suite documentation.
False Positive Management System features to reduce unnecessary alerts and streamline review.		False positive management functionality is explicitly mentioned for RegTechONE transaction screening.
Volume Handling Capacity Maximum number of transactions monitored per second.		No information available
Integration with Trade/Order Systems Direct connection to brokerage trade/order platforms for seamless monitoring.		Integration with order management and core trading systems cited in RegTechONE integrations literature.
Peer Group Analysis Compares client behavior against similar client group averages.		No information available
Historical Data Analysis Supports backtesting and review of historical transactions for compliance audits.		No information available
Automated Case Escalation Automatically escalates suspicious cases for compliance officer review.		Automated escalation to compliance officers/workflows is detailed in product’s case management FAQ.

Integrated Global Lists Supports all major regulatory and financial watchlists (OFAC, EU, UN, etc.).		Integrated support for OFAC, EU, UN sanction/watchlists per RegTechONE’s product documentation and screenshots.
Custom List Support Allows firms to upload and manage their own internal or regional watchlists.		Allows uploading, managing, and screening against custom lists according to AML Partners' feature matrix.
Automated List Updates Regularly and automatically fetches the latest list changes.		Automated download and update of regulatory lists is part of RegTechONE watchlist management.
Version Control Tracks list changes and maintains history for audit purposes.		No information available
List Capacity Maximum number of entries supported per watchlist.		No information available
Fuzzy Matching Algorithms Detects similar names or entities with variable spellings.		Fuzzy matching and alias matching described in the context of AML Partners' screening methodologies.
Alias Handling Supports multiple aliases/names for the same person or entity.		Supports detection and matching of aliases within case and list management modules.
Bulk List Import/Export Allows batch file management for lists.		Bulk import and export of watchlists and screening data are supported (see reference documentation on batch operations).
Automated Screening Scheduling Configurable schedules for periodic screening runs.		No information available
Geo-Restriction Handling Manages restricted or high-risk regions and jurisdictions.		Geo-jurisdiction risk and restricted regions handled in compliance configuration (product overview).

Integrated Case File Creation Automatically creates case files upon detection of alerts or suspicious activities.		Cases and case files are auto-created upon alert generation as per product workflows.
Investigation Workflow Engine Guided process for analysts through investigation, review, and resolution steps.		Workflow and step-by-step investigator guidance for compliance staff specified in the AML Partners documentation.
Audit Trail Logging Maintains detailed logs of all actions taken on a case for compliance.		Full audit trail and logs are listed as compliance and security features in the RegTechONE datasheet.
Automated Regulatory Filing Generates and submits regulatory reports (e.g., SAR/STR) in the required formats.		Automated filing for SARs/STRs is supported, including direct file generation per regulatory format (website).
Role-Based Access Control Restricts and manages access to cases based on user roles or responsibilities.		Role-based access for compliance/case management is a core feature claimed.
Escalation and Reassignment Supports multi-level escalation and assignment of cases.		Escalation and case reassignment within the platform; multi-level assignment discussed in solution documents.
Case Review SLAs Tracks and enforces service-level agreements for case review duration.		No information available
Document Storage Capacity Maximum storage allocated per case for supporting documents.		No information available
Automated Case Notification Notifies relevant users upon updates, assignment, or need for action.		Automated user notifications and workflow triggers are part of case management.
Case Linking and Relationship Mapping Connects related cases or associates individuals/entities across cases.		No information available

Pre-Built Regulatory Report Templates Includes standard report formats required by regulators (e.g., SAR, CTR, STR, KYC logs).		Pre-built regulatory and compliance report templates (e.g., SAR, STR) are standard features for RegTechONE.
Custom Report Builder Enables users to design bespoke compliance reports.		Custom reporting tools are advertised as a configurable component (see product page).
Automated Scheduled Reporting Systematically delivers compliance reports at defined intervals.		Automated and scheduled reporting for compliance purposes is described in features.
Regulatory Data Retention Period Number of years for which compliance data is retained.		No information available
E-Filing Integration Supports direct submissions via regulatory authority electronic channels.		Integration with e-filing regulatory authorities is cited in technical documentation.
Multi-Jurisdictional Compliance Built-in features for different global regulatory regimes.		Coverage for US, EU, UK, and other regimes, with compliance modules tailored to each is claimed in product literature.
Audit Readiness Toolkit Compilation of tools and logs enabling rapid response to audits.		Product claims audit-ready toolkits aiding in rapid response to regulatory demands.
Data Anonymization/Redaction Ability to redact or anonymize sensitive customer information in reports.		Data redaction tools for reports referenced in compliance modules.
Custom Regulatory Mapping Supports mapping of new or changing regulatory requirements.		No information available
Compliance Attestation Support Module for documentation and certification of compliance by officers.		No information available

API Access and Documentation Provides detailed APIs for integration with proprietary or third-party systems.		RESTful API and API documentation are standard for RegTechONE (see website and developer resources).
Batch Data Import/Export Handles large data sets for bulk upload or download operations.		Bulk import/export supported, batch processing discussed in technical documentation.
Real-Time Data Feeds Supports consumption/production of streaming financial or compliance data.		Real-time streaming and data feeds described for integration with market/order data.
Third-Party Data Provider Integration Easy integration with external KYC/AML data sources, credit bureaus, etc.		Integration with third-party providers – KYC, sanctions, and data sources – is frequently referenced.
Compatibility with Core Banking Systems Designed for easy adoption by common brokerage and core financial platforms.		Claims out-of-the box integration with popular core and trading systems.
Customizable Webhooks Triggers actions in other systems upon specific compliance events.		No information available
SSO and Identity Provider Support Integrates with identity management and SSO for organizational identity control.		Platform includes SSO/integration with identity providers, referenced in technical details.
Plugin/Extension Support Can be extended with add-ons for specific compliance needs.		No information available
Connector Library Size Number of pre-built connectors to standard systems/platforms.		No information available
Legacy System Support Compatible with non-modern or legacy brokerage infrastructures.		No information available

Customizable Dashboards Personalized views for compliance officers, executives, or investigators.		Dashboards are customizable with user-specific views, cited in UI documentation.
Mobile Accessibility Access to key features via mobile apps or responsive web interfaces.		Web-based UI is responsive and mobile accessible per vendor’s technical FAQ.
User Workflow Automation Guided flows minimizing manual inputs in common compliance activities.		Workflow automation with guided flows highlighted in compliance automation literature.
Search and Filtering Tools Advanced tools for rapid data retrieval and case filtering.		Advanced search, filtering, and sorting tools detailed in RegTechONE user manual.
Bulk Action Tools Support for batch processing and bulk updates.		Bulk tools for batch actions mentioned in case management and onboarding documentation.
Multi-Language UI User interface offered in multiple languages.		No information available
Accessibility Compliance Meets accessibility standards such as WCAG for user inclusivity.		No information available
User Training and Help Center Built-in education modules and real-time assistance features.		Integrated help center and training tools are part of RegTechONE support module.
Custom User Roles Tailorable user permissions for granular security and workflow management.		User roles and permissions are configurable as per admin reference.
Performance/Load Times Average time taken for the UI to load main dashboards.		No information available

Data Encryption In Transit/At Rest Encrypts all sensitive data both in motion and when stored.		Platform features comprehensive encryption both at rest and in transit per security datasheet.
Multi-Factor Authentication Requires multiple authentication factors for system access.		Multi-factor authentication is available per security and compliance feature list.
Access Logging and Monitoring Extensive logs of all user access and administrative actions.		Access and activity logging detailed as a compliance audit feature.
Penetration Testing Frequency How often the system undergoes external security assessment.		No information available
Data Residency Options Supports choice of specific regions/countries for data storage.		Supports data residency options, including US/EU as per SaaS and data protection brochure.
Compliance with Industry Standards Adheres to standards such as ISO 27001, PCI DSS, GDPR.		Conformance with ISO 27001, GDPR, etc. reviewed in vendor's security literature.
User Session Time-Outs Automatic log-off after a period of inactivity.		Configurable session timeouts as standard supported control in web compliance platforms.
Field-Level Data Masking Sensitive fields can be masked or hidden from unauthorized users.		No information available
Secure Audit Log Storage Ensures immutability and backup of critical audit logs.		Compliant audit log storage (e.g., for SOX) referenced in security datasheet.
Incident Response Procedures Documented processes for breach detection and notification.		Incident response plans and notification processes cited for compliance.

Concurrent User Limit Maximum number of users supported simultaneously.		No information available
Transaction Processing Latency Average time to process and analyze a single transaction.		No information available
Uptime/Availability SLA Guaranteed system availability often expressed as a percentage.		No information available
Data Ingestion Rate Speed at which system can ingest new compliance data.		No information available
Horizontal Scaling Support System supports scaling across servers/nodes to accommodate growth.		Advertised as scalable across nodes/servers, supporting enterprise deployments.
Performance Monitoring Tools Built-in dashboards and alerts on system performance metrics.		Performance dashboards and system health/monitoring built in as admin tools.
Cloud Deployment Option System can be deployed as a cloud (SaaS) or hybrid solution.		Cloud (SaaS) and hybrid deployments are core offerings (website).
On-Premise Deployment Option Supports local/internal hosting for sensitive or regulated data.		On-premise hosting is available for regulated environments per feature/FAQ.
Disaster Recovery RTO Recovery Time Objective in case of system outage.		No information available
Database Size Limit Maximum database size supported without performance loss.		No information available

24/7 Support Availability Round-the-clock access to technical and compliance support.		24/7 support described in support section of AML Partners website.
Dedicated Account Manager Single point of contact for service and issue escalation.		Dedicated account manager or point of contact is standard for enterprise plans according to vendor literature.
Self-Service Knowledge Base Extensive library of documentation, FAQs, and training material.		Comprehensive documentation and self-service support advertised.
Regular System Updates Frequency of non-disruptive security, functionality and rule updates.		No information available
Custom SLA Options Ability to define support levels and response times contractually.		Custom SLAs for implementation/support are a standard feature in proposal literature.
Uptime Guarantee Contractual uptime guarantee for system operation.		No information available
Automated Backup Scheduling Scheduled, automated backups of all system and client data.		Automated system backup routines cited in SaaS and implementation docs.
Patch Management Tools Automation of system security patching and compliance rule changes.		Automated patching/updates detailed in system maintenance section of support docs.
User Feedback Loop Mechanisms for users to submit feedback and feature requests.		Prominent feedback option is visible in user portal and cited in participant case studies.
Multi-Tier Support Levels Choose from basic to premium support plans based on needs.		Support levels are offered at multiple tiers for RegTechONE (see proposal documentation).

Transparent Pricing Model Clearly published and predictable licensing or usage costs.		No information available
Pay-As-You-Go Option Usage-based billing for modular feature access.		Pay-as-you-go/pricing modules are outlined in AML Partners public pricing.
Volume Discounts Available Lower per-unit pricing as transaction or client count increases.		Vendor mentions discounts for larger volumes in sales documentation.
Free Trial/POC Period for free evaluation or proof of concept.		Free trial or proof-of-concept available according to published onboarding material.
Feature-Based Licensing Modular pricing per individual function/module.		Feature-based pricing/licensing available for RegTechONE components.
Perpetual License Option Option to purchase software outright rather than as a subscription.		Not as far as we are aware.* No separate mention of perpetual/offline license in SaaS/cloud materials; most licensing is subscription-based.
Annual Billing Option Discounted pricing for annual upfront payment.		Annual/billed-up-front pricing model detailed in AML Partners documentation.
Multi-Entity Licensing Special terms for multi-subsidiary or group licensing.		Multi-subsidiary/group plans discussed as part of enterprise solution proposals.
Seat/User License Cap Maximum number of named users included without additional charges.		No information available
Additional Data Storage Pricing Published price per additional unit of data storage.		No information available

RegTechONE from AML Partners

Product analysis by function

AML/KYC Compliance Software for Compliance

Client Screening and Onboarding (8 Yes /8 Known /11 Possible features)

Transaction Monitoring (8 Yes /8 Known /11 Possible features)

Watchlist Management (7 Yes /7 Known /10 Possible features)

Case Management and Workflow (7 Yes /7 Known /10 Possible features)

Regulatory Compliance and Reporting (7 Yes /7 Known /10 Possible features)

Integration and Interoperability (6 Yes /6 Known /10 Possible features)

User Interface and Usability (7 Yes /7 Known /10 Possible features)

Security and Data Protection (8 Yes /8 Known /10 Possible features)

Scalability and Performance (4 Yes /4 Known /10 Possible features)

Maintenance and Support (8 Yes /8 Known /10 Possible features)

Cost and Licensing (6 Yes /7 Known /10 Possible features)