Modern custody solution with real-time transaction processing, fractional share capabilities, digital account opening, automated corporate actions, and API-first architecture for seamless integration with fintech applications.
More about Apex Fintech Solutions
Solutions for safekeeping client assets, processing corporate actions, managing dividends and interest payments, and tracking securities positions.
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Multi-currency Support Ability to manage accounts in various currencies. |
API-first architecture and fintech orientation strongly suggest multi-currency support; Apex serves a global fintech clientele. | |
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Sub-account Structure Enables creation and tracking of multiple sub-accounts under a primary account. |
Platform supports sub-accounting for brokerage and custody; widely cited in investor materials. | |
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Account Tiering Supports account segmentation for different service or compliance levels. |
No information available | |
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Automated Account Opening Provides automated workflows for new account onboarding. |
Explicitly supports digital and automated account opening in platform overview. | |
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Client Data Validation System automatically checks and validates client data during account onboarding. |
Digital onboarding with real-time client data validation referenced on product materials. | |
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Account Status Tracking Tracks status (active, closed, suspended) for each account. |
Account statuses (active, pending, closed) are tracked in real-time per demos. | |
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Bulk Account Management Ability to perform mass actions on multiple accounts, such as updates or closures. |
Platform allows mass-upload and management of client data. | |
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Document Management Stores and manages supporting documents for each account. |
Document management and upload referenced in onboarding workflow and support docs. | |
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Automated KYC Checks Performs automated Know Your Customer (KYC) checks during onboarding and periodically. |
Automated KYC/AML part of digital onboarding; verified in platform documentation. | |
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Account Hierarchy Visualization Visualizes parent-child relationships between related accounts. |
No information available | |
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Account Data Encryption Ensures that all sensitive account data is encrypted at rest and in transit. |
Apex emphasizes regulatory-grade encryption for all account data (in transit, at rest). | |
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Custom Account Fields Allows addition of custom data fields for specific business requirements. |
Platform provides API and UI for custom fields, catering to fintech customization needs. |
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Real-time Position Tracking Monitors all positions (securities, cash, etc.) in real-time. |
Platform offers real-time portfolio/position tracking, core to digital brokerage services. | |
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Holdings Reconciliation Supports matching and reconciling of positions with external sources. |
No information available | |
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Corporate Actions Processing Automated handling of corporate actions like dividends, mergers, splits, etc. |
Automated corporate actions processing called out as a major feature set. | |
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Multi-Asset Class Support Supports custody and management of various asset classes (equities, fixed income, derivatives, etc.). |
Supports equity, fixed income, derivatives, and digital assets—multi-asset platform. | |
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Asset Transfer Management Facilitates transfers of assets in and out of custody, including DVP/RVP. |
Facilitates automated and manual asset transfers, including fractional shares. | |
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Automated Valuations Systematically values client assets at specified intervals. |
Automated valuation included in core custody operations per product documentation. | |
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Historical Position Reporting Ability to report historical positions as of particular dates. |
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Position Limits Monitoring Monitors client and firm-level position limits with alerting. |
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Missing/Break Reporting Identifies and reports on missing or broken position records. |
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Asset Classification Classifies assets by custom attributes and standardized taxonomies. |
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Physical Security Custody Supports tracking and safekeeping of physical securities/certificates. |
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Automated Fee Calculation Calculates and posts custody/holding fees based on positions. |
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Trade Capture Automated integration with trade execution platforms to ingest trade data. |
APIs and platform support trade capture and automated trade ingestion. | |
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Straight Through Processing (STP) Supports end-to-end automation of transaction lifecycle without manual intervention. |
Platform capabilities emphasize straight-through, real-time processing. | |
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Exception Management Identifies and manages failed or unusual transactions for review. |
Exception management is part of transaction lifecycle and client notifications. | |
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Transaction Audit Trail Maintains a comprehensive log of actions and changes for all transactions. |
Full audit trail and logging assured by platform security certifications. | |
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Batch Processing Speed Number of transactions the system can process in a batch per hour. |
No information available | |
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Multistep Approval Workflows Supports customizable, multi-level approval processes. |
Multi-step approval workflows available in onboarding and transaction approvals. | |
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Backdating/Forward Dating Allows users to process transactions with effective dates in the past or future. |
No information available | |
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Reference Data Integration Automated enrichment and validation of transaction data using external reference data. |
Reference data (e.g., symbol lookup, security master) enriched in transactions per API docs. | |
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Reversal Handling Automated tools for reversing/correcting erroneous transactions. |
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Settlement Status Monitoring Tracks settlement progress for each transaction. |
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Transaction Fees Calculation Calculates transaction-specific fees and charges. |
Platform automatically calculates transaction fees and brokerage charges. | |
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Transaction Types Supported Number of different transaction types (buy, sell, transfer, etc.) supported. |
No information available |
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Automated Bank Reconciliation Matches system transactions against bank statements automatically. |
Bank connections and reconciliation/transaction matching provided per custodian function. | |
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Custodian Broker Reconciliation Automated reconciliation with counterparties and brokers. |
Apex integrates with external brokers/custodians for reconciliation. | |
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Customizable Report Templates Allows users to create custom report layouts and templates. |
Reports and dashboards are highly customizable (via API and UI) per marketing materials. | |
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Regulatory Report Generation Generates compliance reports for relevant jurisdictions. |
Regulatory report filing/generation for FINRA/SEC included in product feature lists. | |
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End of Day (EOD) Reporting Time Time taken to generate full EOD reports after market close. |
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Exception Reporting Highlights discrepancies and breaks in transactions or positions. |
Exception reporting and discrepancy highlighting included in reconciliation suite. | |
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Scheduled and On-Demand Reports Enables both periodic scheduled reports and ad-hoc on-demand generation. |
User-configurable reporting frequencies, including ad-hoc on-demand reports. | |
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Data Export Formats Supported Number of common export formats (CSV, PDF, XML, etc.) available. |
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User Access to Reports Granular controls for who can access specific reports. |
Granular report access through user permissions and account structure. | |
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Multi-language Support Can produce reports in different languages for international clients. |
Multilanguage output available for statements and select reports, according to international client support. | |
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Audit Reporting Maintains a log of changes to reports and reconciliations. |
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Aging of Reconciliation Breaks Tracks and reports how long reconciliation breaks have remained unresolved. |
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AML Screening Integrated anti-money laundering checks on accounts and transactions. |
Automated AML screening referenced in onboarding and ongoing compliance. | |
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Sanctions and Watchlist Screening Automated screening against updated sanctions lists and watchlists. |
Sanctions/OFAC and other watchlists are used in automated onboarding and compliance. | |
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Automated Regulatory Filings Generates and files regulatory documents automatically where possible. |
No information available | |
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GDPR/Privacy Compliance Tools Features to support compliance with global data privacy requirements. |
Privacy compliance and GDPR tools featured in compliance suite; details in privacy policy. | |
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Electronic Signatures Support Ability to store and validate digital or electronic signatures for compliance. |
eSignature collection and validation built into account workflow. | |
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Audit Logging and History Comprehensive logs of user activity and system changes. |
Audit logging and system change history is SOC-certified and part of the compliance offering. | |
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Configurable Compliance Checklists Customizable checklists to enforce firm or jurisdictional policies. |
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Regulatory Rule Updates Frequency How often system regulatory rules are updated for global compliance. |
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Sensitive Data Masking Prevents unauthorized viewing of sensitive client data. |
Sensitive data fields masked unless access level permits; mentioned in API and security documentation. | |
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Real-Time Compliance Alerts Notifies users of compliance breaches or suspicious activity immediately. |
Real-time alerts for compliance/risk set as key feature of Apex platform. | |
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Pre-Trade/Pre-Instruction Compliance Checks Ensures all trades/instructions are compliant before execution. |
Pre-trade compliance checks built into instruction lifecycle. |
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Secure Client Portal Provides clients with a secure, web-based access to their holdings and reports. |
Client portal is web-based, secured, and branded for fintech partners. | |
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Client Notifications and Alerts Automated notifications for key events, transactions, or issues. |
Automated alerts (email, portal, SMS) for key actions and exceptions are built-in. | |
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Statement Generation Automatic creation and distribution of periodic client statements. |
Periodic statement generation and e-delivery are core functions of custody. | |
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Customizable Dashboard Widgets Clients can personalize their portal dashboards with relevant widgets. |
Portal supports widget-based customization for end client experience. | |
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Chat and Messaging Integration Built-in secure communication between clients and operations teams. |
No information available | |
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Online Instruction Submission Clients can submit instructions (transfers, asset movements) online. |
Instruction submissions (deposits, withdrawals, asset transfers) are supported via portal. | |
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Real-Time Balance Updates Clients receive immediate updates to their balances following transactions. |
Clients see real-time cash and position updates after trades or asset movements. | |
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Multi-Channel Communications Supports email, SMS, and in-app notifications. |
Apex provides APIs for email, SMS, and other notification channels. | |
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Document Upload and Download Clients can securely send/receive documents via the portal. |
Secure document exchange in client onboarding and ongoing servicing. | |
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Feedback Collection Tools Gather client feedback on service quality and portal usability. |
No information available |
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Role-Based Access Control (RBAC) User access and permissions are governed by role assignments. |
All client access and permissions governed by role-based controls (RBAC). | |
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Multi-factor Authentication System requires two or more authentication methods for access. |
Multi-factor authentication required for both client and admin access. | |
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Single Sign-On (SSO) Support Allows access with single sign-on credentials integrated with enterprise systems. |
Single sign-on supported for enterprise clients, as per integration guides. | |
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User Session Timeout Set duration after which inactive sessions log out automatically. |
No information available | |
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Permission Auditing Tracks and reports on changes to user permissions. |
Permission auditing and reporting is core to meeting SOC and FINRA standards. | |
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Data Encryption In-Transit Ensures all data transmitted over networks is encrypted. |
References state all APIs and data feeds are encrypted end-to-end. | |
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Data Encryption At-Rest All stored data is encrypted on disk or database. |
Persistent storage (database, files) is encrypted; referenced in SOC 2, ISO compliance. | |
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Intrusion Detection Monitors access attempts to detect and report intrusions. |
Platform includes continuous monitoring and intrusion detection. | |
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IP Whitelisting/Blacklisting Restricts access to specific IP address ranges as needed. |
IP-based filtering, whitelisting/blacklisting configurable for all client/partner access. | |
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User Activity Monitoring Logs user activity for audit and traceability. |
User actions and sessions logged for compliance and dispute resolution. |
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API Availability Provides application programming interfaces (REST, SOAP, etc.) for third-party integrations. |
API-first platform with REST and other APIs for fintech and partner integrations. | |
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File Format Flexibility Ability to support various file formats (CSV, XML, JSON, etc.) for data exchange. |
System supports data exchange in CSV, JSON, XML, and other industry formats. | |
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SWIFT Messaging Support Natively integrates with SWIFT for secure financial messaging. |
SWIFT connectivity and secure messaging available for institutional partners. | |
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FIX Protocol Integration Supports Financial Information Exchange (FIX) protocol for trade and order data. |
No information available | |
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Core Banking Integration Can connect to core banking systems for settlement and cash processing. |
Integration with core banking for settlement/cash processing cited in technical integrations. | |
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Market Data Feeds Ingests live or historical market data for price validation and reporting. |
Live and historical market data feeds available (for pricing, corporate actions, etc.). | |
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Data Warehouse/BI Integration Feeds consolidated data directly into enterprise BI and analytics platforms. |
Feeds into BI and data warehouse platforms via API; supported for partners. | |
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Batch and Real-Time Data Exchange Supports both scheduled batch and real-time data synchronization. |
Batch and real-time data exchange supported; core to fintech adoption strategy. | |
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Integration Setup Time Estimated time to configure and enable a new integration. |
. | No information available |
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Third-party Vendor Support Certified integrations with major market infrastructures and external providers. |
Certified integrations with many third parties—fintechs, market data providers. |
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Concurrent User Capacity Maximum number of users who can actively use the system simultaneously. |
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Transaction Throughput Maximum number of transactions system can process per second. |
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Data Storage Capacity Total supported data volume without performance degradation. |
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Horizontal Scaling Support Can system expand capacity by adding new servers or cloud instances easily. |
Platform is built for simple scaling on cloud or servers (horizontal scale). | |
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Load Balancing Supports distribution of incoming activity across multiple servers. |
Load balancing across multiple servers part of cloud architecture. | |
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Disaster Recovery RTO Recovery Time Objective: Maximum targeted duration to restore system after failure. |
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Disaster Recovery RPO Recovery Point Objective: Maximum data loss in case of disaster. |
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System Response Time Average time for system to respond to standard user actions. |
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Uptime Guarantee Guaranteed percentage of system availability. |
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Customizable User Interface System UI can be personalized to user or team preferences. |
Dashboards for users and partners are personalized via UI controls and API. | |
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Multilingual Interface Supports displaying user interface in multiple languages. |
Multi-language support in UI for international clients is a stated feature. | |
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Mobile Device Support Can be accessed and used efficiently from mobile or tablet devices. |
Platform accessible via mobile web/browser, and through white-label partner apps. | |
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Self-Service Help and Tutorials Includes built-in help, guides, and interactive tutorials for users. |
Extensive help guides, onboarding tutorials, and documentation provided. | |
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Intuitive Navigation Organized menus and workflows for ease of movement through the system. |
Modern, easy navigation highlighted in all sales/marketing materials. | |
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Accessibility Compliance Meets standards for accessibility (e.g., WCAG compliance). |
Accessibility compliance cited for institutional and fintech client inclusivity. | |
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Personalized Dashboards Each user can set up their own dashboard views. |
Dashboard personalization is a feature for both institutional and end-user clients. | |
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Notification Center Centralized area for all user messages and alerts. |
Centralized alerts and notifications center built into client and admin UI. | |
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Drag-and-Drop Workflow Editors Users can visually customize workflows without programming. |
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Quick Search Functionality Global, fast search capability across accounts, transactions, and positions. |
Platform supports instant search across accounts, positions, and entities. |
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24/7 Technical Support Access to technical support staff at all times. |
24/7 technical support available for fintech and broker partners. | |
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User Training Programs Comprehensive onboarding and ongoing training for end-users. |
Onboarding and continuing training is offered to partners and clients. | |
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Service Level Agreement (SLA) Contracted commitments to system uptime and issue resolution. |
Service level agreements (SLA) for uptime, service, and support published. | |
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Release/Upgrade Frequency Number of software releases or upgrades per year. |
No information available | |
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Custom Feature Development Vendor provides support for developing additional custom functionalities. |
Custom feature and API development available for fintech clients. | |
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Issue Resolution Time Average time to resolve reported issues or bugs. |
No information available | |
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Dedicated Account Manager Assigned representative for ongoing relationship management. |
Dedicated support/account managers provided to all larger partners per website. | |
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User Community and Forums Access to community forums and user groups. |
Community forums and events for clients available on the website. | |
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Automated System Monitoring Vendor provides monitoring for system performance and outages. |
Platform monitoring for uptime and outages is referenced in both SLA and technical docs. | |
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Documentation Quality Comprehensive, searchable online documentation. |
Knowledge base and documentation described as comprehensive and searchable. |
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