Four Eyes Unified Data Layer
Enterprise Compliance, Built for Governed AI
Four Eyes runs 4ms digital onboarding and KYC maintenance alongside Risk7 trade surveillance on one unified data layer, built for CIRO, provincial, FINRA and SEC regulated wealth firms. Each firm runs on its own single-tenant instance, keeping client context in sync from first signature to ongoing oversight.
Dedicated single-tenant instance
Start with one module, scale as you grow
English, French and Spanish, for clients and staff
Purpose-Built Modules
One Connected Ecosystem
From first signature to ongoing supervision, every module manages a stage of the client lifecycle on one connected data layer for complete context without re-keying, gaps, or handoffs. For example, 4ms powers digital onboarding, while Risk7 powers trade supervision and surveillance.
Digital Onboarding
Guided digital account opening across custodians, with validation that catches NIGO errors before submission.
KYC Maintenance
Smart lifecycle reviews: a quick one-click attestation when nothing’s changed, and a guided deep-dive only when material changes happen.
Bulk Transitions
Transition entire books of accounts through guided, compliant workflows that cut timelines from weeks to days.*
Pre-Trade Analyzer
Suitability checked before the trade, with proposals scored against client KYC, concentration limits and your suitability rules.
Product Shelf Management
One governed shelf for approved products, risk ratings and KYP documents, with every change approved by a second reviewer.
Product Research & Point of Sale
Research and compare products against their category peers, attest suitability at the point of sale and deliver Fund Fact Sheets.
Trade Surveillance
Policy-driven trade oversight using exception-based reviews connected directly to your written supervision policies, unlocking 50% more capacity.*
Risk Ratings
Move beyond rolling volatility with a proprietary, multi-factor algorithm that captures product risk. As a result, ratings stay updated across your product shelf without manual spreadsheets.
Case Management
Turn surveillance alerts, account exceptions and advisor requests into governed cases with routing, deadlines and secondary approval.
Client Complaints
Complaint intake to certified close in one governed workflow, with CIRO deadlines, ComSet filing and a redress ledger.
CE Manager
Track advisor CE credits, govern supervisor review and map CIRO and FINRA credits for dual-registered advisors.
*Based on North American client results, 2026.
Security by Design
Built for Every Wealth Model
Enterprise-grade protection built into the core. Four Eyes Financial enforces rigorous security and privacy standards to keep your critical enterprise and client data secure.
Data Sovereignty
Client data is hosted in Canada for Canadian firms and in the United States for US firms, on dedicated infrastructure that keeps your data secured within your instance.
SOC 2 Type II Compliant
Continuously monitored and independently audited annually by Aprio LLP to meet the expectations of firms regulated by CIRO, provincial securities commissions, FINRA and the SEC.
Single-Tenant Architecture
Every client runs on a completely dedicated instance featuring a non-shared, single-tenant database secured with unique encryption keys.
Continuous Monitoring
Automated vulnerability scanning, dynamic and static application security testing, rigorous pen testing, proactive patch management, and real-time surveillance.
Permissioned Access
Enforce strict least-privilege security with Role-Based Access Control (RBAC), delegated account roles, and enterprise Single Sign-On (SSO).
Compliance Audit Trails
Every user action is captured and stored in a permanent, timestamped log to ensure complete regulatory transparency and audit readiness.
Seamless Interoperability
Connected to Your Existing Wealth Ecosystem
A connected data layer is only as powerful as the infrastructure it links to.
That’s why Four Eyes integrates with DocuSign, Salesforce, PureFacts, FutureVault, QuoteMedia, NDEX, Microsoft Dynamics 365, Conquest Planning, LSEG Data & Analytics, Fundata, Broadridge Dataphile, Broadridge Winfund, Pinnacle, Broadridge SIS and CIIS Pario.
Zero re-keying
Front and back office stay in
sync automatically.
Automated handoffs
Third-party capabilities drive core compliance workflows.
Focus on Growth
Fewer manual touchpoints
for your team.
e-Signature
CRM
Fee Billing
Document Vault
Market Data
Book of Record
CRM
Financial Planning
Market Data
Fund Data
Book of Record
Back Office
Custody & Clearing
Back Office
CIIS | Pario
Custodian BOR
Frequently Asked Questions
The Four Eyes Client Compliance Lifecycle Platform
What is the Four Eyes client compliance lifecycle platform?
A client compliance lifecycle platform for regulated wealth firms, built for governed AI. Four Eyes runs digital onboarding, KYC maintenance and bulk transitions (4ms), Risk7 trade surveillance and risk ratings, Pre-Trade Analyzer, Product Shelf Management, Case Management, Client Complaints and CE Manager on one unified data layer, so every module works from the same client record.
Which modules does it include, and can firms start with one?
Yes, firms can start with one. A firm can begin with a single module, such as digital onboarding or trade surveillance, and add others as it grows. Because each new module connects to the same client records, there is no re-keying and no new integration project.
How is client data secured?
On a dedicated, single-tenant instance. Every firm runs on its own non-shared database with unique encryption keys, hosted in Canada for Canadian firms and in the United States for US firms. The platform is also SOC 2 Type II compliant and independently audited annually by Aprio LLP, headquartered in Atlanta, Georgia, with role-based access, single sign-on and continuous security testing.
Which regulators and jurisdictions does the platform support?
CIRO and provincial securities commissions in Canada, and FINRA and the SEC in the United States. In turn, each module maps its checks to the relevant rules, from NI 31-103 and the Client Focused Reforms to FINRA Rules 2111 and 3110 and Regulation Best Interest, across multiple custodians and books of record.
Which languages does the platform support?
Every module is available in English, French and Spanish. Clients complete account opening and KYC updates in their chosen language, and advisors, associates, supervisors and analysts can each choose the language they work in. Regulatory forms with official versions, such as FINTRAC and CRA forms, are provided in English and French.
What does built for governed AI mean in practice?
AI is built into the workflows, with people in control. It extracts holdings from client statements, writes plain-language explanations of portfolio risk, and summarizes fund comparisons with confidence ratings and data references. AI runs inside your firm’s single-tenant instance, and your data never trains shared models. Every AI output is reviewed and approved by a person before it is used, and every action is logged with who did it and when, along with the prompt, output and model version. See how we govern AI.
Can one firm run multiple lines of business on the platform?
Yes, on one dedicated instance. Firms running brokerage and private wealth, or retail and discretionary (managed) businesses side by side operate them on a single install, with each line of business supervised against its own surveillance thresholds and every client record on the same data layer.
Which custodians and systems does Four Eyes connect to?
Your existing stack. Four Eyes integrates with DocuSign, Salesforce, PureFacts, FutureVault, QuoteMedia, NDEX, Microsoft Dynamics 365, Conquest Planning, LSEG Data & Analytics, Fundata, Broadridge Dataphile, Broadridge Winfund, Pinnacle, Broadridge SIS and CIIS Pario, covering e-signature, CRM, fee billing, document vaults, market and fund data, financial planning, custody and clearing, and book-of-record and back-office systems.
Start With One Module
Scale From One Workflow to the Full Platform
Tailor your rollout by beginning with your most time-consuming workflow, adding compliance and operations modules as needed. Because it is built on a single-tenant instance, the platform unites all workflows around one client record, with English, French and Spanish support for clients and staff.