Trade supervision & compliance automation powered by parameter-based alerts, connected to your regulatory policies and procedures.
Case | Inquiry Management
Comprehensive Audit Logs
Multi-Tiered Supervision
One Platform | Multiple Line of Business
Role Based Permissions
SSO Integration
Workflow Automation
Learn how to scale your business
and reduce supervision cycle times.
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Trade surveillance & supervision automation powered by parameter-based alerts, connected to your regulatory policies and procedures.
Case | Inquiry Management
Comprehensive Audit Logs
Multi-Tiered Supervision
One Platform | Multiple Line of Business
Role Based Permissions
SSO Integration
Workflow Automation
Learn how to scale your business
and reduce supervision cycle times.
Transform your wealth management regulatory processes with our end-to-end compliance platform. Through advanced automation, your compliance teams can monitor, flag, and resolve issues, replacing time-consuming manual checks with intelligent surveillance. Gain instant insights with customizable alerts and robust reporting tools, enabling you to address regulatory concerns swiftly and proactively.
Discover how our platform’s centralized dashboard offers holistic visibility, empowering decision-makers to oversee compliance operations efficiently and ensure every trade adheres to evolving regulatory standards.
Your firm, your rules. Our end-to-end compliance platform offers rule and parameter-based automation that perfectly aligns with your policies and procedures. Easily configure customizable rules and parameters to automate your regulatory oversight workflows. Experience unparalleled flexibility and control, ensuring your operations are always in sync with your regulatory governance policies.
Say goodbye to manual processes and hello to a solution that adapts to your policies & procedures.
Our advanced platform instantly routes critical compliance alerts directly to the right person or team within your wealth management firm. Say goodbye to costly delays and proactively address potential compliance risks as they emerge. This empowers your team to respond to flagged events with speed and precision, ensuring your regulatory operations remain smooth and fully compliant.
Keep your firm ahead of regulatory changes with intelligent, automated alerting.
Is audit season a headache for your wealth management firm? Deliver accurate data and reporting on demand to regulators, that demonstrates you are meeting your regulatory obligations ensuring smooth, compliant audits every time. Our end-to-end platform is specifically built to streamline reporting and significantly reduce audit preparation time.
Ditch frantic, expensive data gathering and say hello to efficiency reducing audit preparation time.
For wealth management firms, the journey with a client doesn’t end at account opening. Efficiently managing post-account opening activities is crucial for sustained client satisfaction and operational scalability.
Our case management software automates these vital workflows, transforming traditionally manual, time-consuming tasks into seamless, digital processes.
