ACTICO Compliance Suite from Actico

A modular platform covering AML, fraud detection, sanctions screening, regulatory compliance reporting, and monitoring tailored specifically for financial industry clients.

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Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

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 ...

Regulatory Coverage
(0 Yes /0 Known /11 Possible features)

Workflow Automation
(0 Yes /0 Known /11 Possible features)

Disclosure and Documentation Management
(0 Yes /0 Known /11 Possible features)

Compliance Monitoring
(0 Yes /0 Known /11 Possible features)

Audit and Reporting
(0 Yes /0 Known /11 Possible features)

Integration and Interoperability
(0 Yes /0 Known /11 Possible features)

User Access and Permissions
(0 Yes /0 Known /11 Possible features)

Data Security and Privacy
(0 Yes /0 Known /11 Possible features)

User Experience and Adoption
(0 Yes /0 Known /11 Possible features)

Risk Assessment and Management
(0 Yes /0 Known /11 Possible features)

Support and Vendor Reliability
(0 Yes /0 Known /11 Possible features)

Audit Trail Systems for Compliance and Risk Management

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 ...

Data Capture & Recordkeeping
(0 Yes /0 Known /10 Possible features)

Search, Retrieval & Reporting
(0 Yes /0 Known /10 Possible features)

Security & Access Control
(0 Yes /0 Known /10 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability
(0 Yes /0 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /10 Possible features)

User Experience & Interface
(0 Yes /0 Known /10 Possible features)

Notifications, Alerts & Workflow Automation
(0 Yes /0 Known /10 Possible features)

Audit & Investigation Tools
(0 Yes /0 Known /10 Possible features)

Customization & Extensibility
(0 Yes /0 Known /10 Possible features)

Support, Training & Vendor Reliability
(0 Yes /0 Known /10 Possible features)

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Jurisdictional Support Ability to support regulations across multiple US states and federal bodies.		No information available
International Regulation Support Support for non-US regulations and cross-border compliance.		No information available
Real-Time Regulatory Updates The system provides real-time updates when regulations change.		No information available
Custom Rule Mapping Ability to create or modify mappings to custom company-specific compliance policies.		No information available
Regulation Database Size Number of distinct regulatory statutes/rules tracked.		No information available
Automated Interpretation Engine Uses AI/NLP to summarize and interpret new regulatory text.		No information available
Rule Version Tracking Tracks historical versions of regulations for comparison and audit.		No information available
Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation.		No information available
Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations.		No information available
Regulatory Library Export Capability Ability to export all regulatory content for offline analysis.		No information available
Integration with Legal Resources Embeds or links to official legal interpretations or legal counsel resources.		No information available

Automated Disclosure Generation Automatically generates required client disclosures according to regulatory guidelines.		No information available
Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items.		No information available
Task Assignment Automation Automatically assigns compliance tasks to relevant parties based on roles, locations, or other rules.		No information available
Workflow Customization Ability to design and modify custom compliance workflows.		No information available
Escalation Triggers Automatically escalates issues or breaches to compliance officers and key stakeholders.		No information available
Compliance Calendar Management Tracks and automates key dates and deadlines for compliance actions.		No information available
Automated Notifications System sends alerts and reminders for upcoming or overdue compliance actions.		No information available
Workflow Integration APIs APIs for integration with other workflow or case management platforms.		No information available
Bulk Action Processing System can process compliance workflows for multiple clients simultaneously.		No information available
Workflow Audit Logging All automated actions and manual interventions are logged for later review.		No information available
Simultaneous Workflow Capacity Number of compliance workflows the system can handle at once.		No information available

Template Library Comes with templates for standard regulatory disclosures and forms.		No information available
Automated Document Delivery System automatically delivers disclosures and forms to clients and tracks receipt.		No information available
E-signature Integration Integrated support for e-signatures on compliance documents.		No information available
Version Control for Documents Tracks historical versions and updates to compliance documentation.		No information available
Secure Storage of Documents All disclosures and supporting documents are stored securely and encrypted.		No information available
Document Retention Policy Automation Automatically enforces document retention and deletion policies per regulation.		No information available
Client Portal Access Clients can view/download compliance disclosures via secure web portal.		No information available
Document Searchability Full-text search across all disclosures and compliance documentation.		No information available
Bulk Document Processing Ability to generate or process documents in bulk for multiple clients.		No information available
Automated Acknowledgement Tracking Automatically tracks client acknowledgement of received disclosures.		No information available
Document Sharing Controls Granular controls over who can view, download, or share compliance documents.		No information available

Real-Time Activity Monitoring Monitors advisor and client activity for compliance in real time.		No information available
Automated Alerting System sends alerts when compliance thresholds are approached or breached.		No information available
Policy Breach Detection Rate Percentage of potential compliance breaches detected automatically.		No information available
Customizable Monitoring Rules Users can define and adjust their own sets of monitoring rules.		No information available
Risk Scoring System assigns risk scores to clients, advisors, or events based on compliance data.		No information available
False Positive Rate Rate of incorrect compliance alerts (false alarms).		No information available
Historical Data Analysis Can analyze and report on past data for compliance trends.		No information available
Automated Suspicious Activity Report (SAR) Generation Automatically generates regulatory reports on potentially suspicious activities.		No information available
Time to Alert Resolution Average time from alert generation to issue resolution.		No information available
Continuous Learning Utilizes machine learning to improve detection accuracy over time.		No information available
Role-Based Dashboard Views Custom dashboards based on user roles to review ongoing compliance status.		No information available

Comprehensive Audit Trail Logs all system changes, user actions, and compliance events.		No information available
Regulatory Exam Preparation Tools Assists with aggregation and export of reports for regulator examinations.		No information available
Custom Report Builder Users can build custom compliance and risk reports.		No information available
Pre-Built Regulatory Report Library Comes with templates for common regulatory audits (e.g., SEC Form ADV, FINRA 8210).		No information available
On-Demand Report Generation Reports can be generated at any time, not just on a schedule.		No information available
Scheduled Report Delivery Reports can be scheduled for automated delivery to stakeholders.		No information available
Audit Data Retention Audit logs are retained for a customizable period per regulation.		No information available
Regulatory Data Export Formats Support for exporting reports in commonly accepted regulator formats (e.g. XML, CSV, PDF).		No information available
Report Annotation Users can annotate and comment on reports within the system.		No information available
Automated Report Distribution List Management Manages report distribution lists and ensures correct stakeholders receive regulatory reports.		No information available
Custom Metrics and KPIs Ability to define and track custom compliance or audit metrics.		No information available

CRM Integration Integrates with Advisor CRM platforms to pull relevant client/advisor data.		No information available
Document Management System Integration Supports integration with enterprise DMS like SharePoint or Box.		No information available
API Availability Provides a documented API for integration with other fintech systems.		No information available
Data Import/Export Tools Tools for importing and exporting compliance-relevant data.		No information available
Single Sign-On (SSO) Supports SSO with enterprise identity platforms.		No information available
RegTech Vendor Marketplace Integration Connects with external RegTech data feeds and vendors.		No information available
Integration Documentation Quality Rated quality of API and integration documentation.		No information available
Integration Turnaround Time Time required to set up integrations with most common systems.		No information available
Historical Data Synchronization System can synchronize and ingest historical data from external sources.		No information available
Event-Driven Integration Supports event-driven triggers and actions from/to external systems.		No information available
Batch vs. Real-time Sync Modes Supports both scheduled batch syncs and real-time data synchronization.		No information available

Granular Role-Based Permissions Enables detailed access control based on defined roles and responsibilities.		No information available
Multi-Level Approval Hierarchies Supports layered approval structures in compliance workflows.		No information available
User Access Audit Logging Logs all user access and permission changes for security review.		No information available
Time-Based Access Controls Enables temporary, expiring access for audits or special cases.		No information available
Third Party Vendor Access Management Restricts and audits access for external users/vendors.		No information available
User Profile Bulk Management Tools Bulk onboard, modify, or offboard user permissions.		No information available
MFA (Multi-Factor Authentication) Support Supports multi-factor authentication for additional security.		No information available
Data Access Segmentation Restricts access to sensitive records based on user segments (e.g. office, branch, team, region).		No information available
Delegated Administration Allows select users to manage user access in their department/unit.		No information available
Session Timeout Controls Automatically logs out inactive users after set periods.		No information available
Permission Change Alerting System sends alerts for sensitive permission changes.		No information available

Data Encryption At Rest Encrypts all stored data to prevent unauthorized access.		No information available
Data Encryption In Transit Encrypts all data transmitted between system components.		No information available
Audit Logging for Data Access Tracks all access, changes, and exports of sensitive records.		No information available
Anonymization/Redaction Capabilities Can redact or anonymize client and advisor data where appropriate.		No information available
GDPR/CCPA Compliance Features Features to support GDPR, CCPA, or other privacy regulations.		No information available
Data Breach Alerting Automated alerts and response playbooks for data security incidents.		No information available
Security Certifications Held Indicates the number or types of security certifications (e.g., SOC 2, ISO 27001) held.		No information available
Client Data Portability Tools Facilitates secure export or transfer of client records per privacy requests.		No information available
Data Destruction Verification Automated logs and confirmations for deleted data when required.		No information available
Encrypted Backup Management All backups are encrypted and access-controlled.		No information available
System Penetration Test Frequency Number of penetration tests conducted per year.		No information available

Intuitive User Interface Modern, user-friendly UI designed for easy navigation.		No information available
Customizable Dashboards Users can configure dashboards to view most relevant compliance metrics.		No information available
Mobile Access or App Mobile-optimized web or native app for on-the-go compliance access.		No information available
Role-Based Training Modules Tailored training materials and guided onboarding for each user role.		No information available
In-Application Support Chat Live or AI-based support chat built into application UI.		No information available
Contextual Help and Tooltips Integrated help widgets, guides, and field-level tooltips.		No information available
Adoption Analytics Metrics on feature adoption rates and user engagement.		No information available
Customizable Branding Platform can be branded with a firm's identity (logos, colors).		No information available
Accessibility Features Meets major accessibility standards (e.g., WCAG 2.1).		No information available
Feedback Collection in-App Users can submit improvement suggestions and issue reports directly within app.		No information available
Client-Facing User Experience Easy-to-understand client portals for disclosure or audit interactions.		No information available

Automated Risk Profiling Automatically assesses compliance risk based on activity patterns.		No information available
Customizable Risk Scoring Models Allows firms to tailor risk scoring and weighting to business priorities.		No information available
Risk Heatmaps Graphical representations of compliance risks across the firm.		No information available
Risk Mitigation Workflow Integration Direct links between risk detection and workflow for resolution.		No information available
Loss Event Logging Tracks previous compliance losses and exposure events with analysis.		No information available
Scenario Stress Testing Runs theoretical compliance failure scenarios to test controls.		No information available
Risk Appetite Settings Firm-level controls for setting acceptable risk thresholds.		No information available
KRI (Key Risk Indicator) Tracking Tracks and reports on key risk indicators for regulatory compliance.		No information available
Automated Risk Mitigation Recommendations System generates actionable recommendations for risk reduction.		No information available
Risk Event Notification Frequency How frequently the system sends risk alerts.		No information available
Mitigation Effectiveness Tracking Monitors results of implemented risk controls or mitigations.		No information available

24/7 Support Availability Round-the-clock technical or compliance support for critical issues.		No information available
Dedicated Account Manager Each client is assigned an account manager for escalations.		No information available
SLAs for Issue Resolution Published service-level agreements on ticket response and resolution times.		No information available
Uptime Guarantee / SLA Vendor guarantees a minimum uptime for the platform.		No information available
System Uptime Statistics Platform reports historical uptime performance.		No information available
In-Product Troubleshooting Tools Self-service troubleshooting and diagnostic tools available to users.		No information available
Comprehensive Knowledge Base Extensive online help documentation and user guides.		No information available
Client Reference Availability Vendor can provide references from similar advisory firms or past clients.		No information available
Platform Roadmap Transparency Vendor publishes technology/product roadmap to clients.		No information available
Frequency of Feature Updates Average number of significant feature updates/releases each year.		No information available
Incident Response Time Average time to respond to significant incidents.		No information available

Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital).		No information available
Automatic Timestamping Captures exact date and time of every change or entry.		No information available
Document Attachment Support Allows the secure upload and association of supporting documents with audit entries.		No information available
Editable Notes Ability to add and update advisor notes for context while maintaining previous versions.		No information available
Change Log/Version History Keeps a record of all data modifications with before/after state.		No information available
Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity.		No information available
Volume Capacity Maximum number of records or interactions system can reliably store per year.		No information available
Data Retention Period Length of time records are retained according to regulatory guidelines.		No information available
Bulk Import/Export Supports mass upload and export of records for migration or backup.		No information available
Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail.		No information available

Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records.		No information available
Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations.		No information available
Audit Trail Visualization Timeline or graphic visualization of client-interaction histories.		No information available
Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.).		No information available
Saved Reports Ability to save and schedule common audit reports.		No information available
Role-based Data Access Limits report/data access based on user role/permissions.		No information available
Time to Retrieve Record Average time to access a record from search to display.		No information available
Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests.		No information available
Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords.		No information available
Full-Text Search Scans attached documents and notes for keywords/phrases.		No information available

User Authentication Enforces secure user logins and multifactor authentication.		No information available
Role-Based Permissions Granular control over who can access, view, edit, or export audit records.		No information available
Encryption at Rest All records are encrypted when stored on disk.		No information available
Encryption in Transit Data is always encrypted during network transmission.		No information available
Audit Log of Access Fully logs which users access which records and when.		No information available
Session Timeout Sessions auto-expire after set period of inactivity.		No information available
Failed Login Alerts Notifies administrators of repeated login failures or suspicious access.		No information available
Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted.		No information available
User Password Policy Controls Configure password complexity and refresh requirements.		No information available
Number of Permission Levels How many roles or permission profiles can be configured.		No information available

Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations.		No information available
Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts.		No information available
Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies.		No information available
Regulatory Change Updates System updates templates/processes in response to new regulations.		No information available
Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention.		No information available
Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules.		No information available
E-Signature Compliance Supports legally recognized e-signatures for documentation.		No information available
Policy and Forms Repository Centralized location for latest firm/industry policies and forms.		No information available
Automated Retention Policy Enforcement Automatically deletes or archives records as required by law.		No information available
Regulatory Export Formats Supported Number of regulatory-mandated export types available.		No information available

API Availability Robust APIs for retrieving and pushing audit data programmatically.		No information available
Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms.		No information available
Email System Integration Automatically captures advisor-client communications from email systems.		No information available
Document Management Integration Links with digital document vaults and e-signature platforms.		No information available
Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists.		No information available
Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events.		No information available
Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration.		No information available
Mobile App Integration Audit access from mobile CRMs or compliance apps.		No information available
Real-Time Data Sync Synchronizes audit records across systems in real time.		No information available
Custom Integration Support Allows custom-built connectors for proprietary systems.		No information available

Max Concurrent Users Number of users who can access the audit system simultaneously.		No information available
System Uptime SLA Guaranteed uptime for the service infrastructure.		No information available
Processing Speed Average time taken to save and retrieve audit records.		No information available
Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage.		No information available
Multi-Region Support Ability to host audit data in multiple jurisdictions/regions.		No information available
On-Premises & Cloud Options Choice of deployment models to match firm requirements.		No information available
Data Archiving Capacity Maximum size of historical data system can archive efficiently.		No information available
Scalable Storage Storage expands automatically as audit volumes grow.		No information available
Load Balancing Automatically manages traffic to maintain system responsiveness under load.		No information available
Performance Monitoring Alerts Automatic warnings when system performance degrades.		No information available

Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks.		No information available
Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences.		No information available
Multi-Language Support Interfaces and help content available in multiple languages.		No information available
Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities.		No information available
Mobile Responsiveness Optimized for desktop, tablet, and smartphone use.		No information available
Contextual Help/Hints In-app guidance and definitions for features and fields.		No information available
Theme Customization Selectable color schemes and branding for firm customization.		No information available
Search Autocomplete Predictive suggestions while typing in search fields.		No information available
Quick Entry Templates Pre-set forms or templates for faster record input.		No information available
Drilldown Navigation Click-through from summary to detail with minimal steps.		No information available

Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail.		No information available
Automated Task Assignment Assign follow-ups or compliance tasks from audit entries.		No information available
Escalation Notifications Escalates unaddressed compliance risks to management after defined time.		No information available
User Notification Channel Options Email, SMS, in-app, and push notification options.		No information available
Calendar Reminders Allows automatic creation of calendar events for compliance review.		No information available
Workflow Builder Visual interface to design custom workflows for audit data handling.		No information available
Template-Based Workflows Pre-built workflow templates for standard compliance tasks.		No information available
Approval Routing Routes audit records for multi-level review/approval.		No information available
Real-Time Status Updates Instant notifications of audit data status changes.		No information available
Event Frequency Limits Limits on how often users receive repeat notifications.		No information available

Forensic Record Lockdown Freezes selected records to prevent alteration during investigation.		No information available
Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing).		No information available
Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients.		No information available
Redaction Tools Safely redact sensitive information from exported audit records.		No information available
Automated Sampling Generates random record samples for compliance spot checks.		No information available
Investigation Case Management Organizes and tracks the progress of multiple investigations.		No information available
Audit Evidence Linking Associates supporting evidence files with investigation cases.		No information available
Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds.		No information available
Export with Legal Hold Prevents deletion/alteration of exported files under legal hold.		No information available
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.		No information available
Form/Template Builder Drag-and-drop interface for building new entry forms and templates.		No information available
Scriptable Actions Develop custom scripts triggered by audit events.		No information available
Custom Branding Upload logos, firm colors, and themes.		No information available
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
Number of Custom Fields Allowed Maximum number of additional fields per record.		No information available
User Role Flexibility Define and manage custom user roles beyond defaults.		No information available
Workflow Customization Depth Level of complexity supported in custom workflow automation.		No information available
Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility.		No information available

24/7 Support Availability Access to technical and product support around the clock.		No information available
Onboarding Assistance Step-by-step guidance for implementation and user training.		No information available
Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips.		No information available
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.		No information available
Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans.		No information available
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

ACTICO Compliance Suite from Actico

Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

Regulatory Coverage (0 Yes /0 Known /11 Possible features)

Workflow Automation (0 Yes /0 Known /11 Possible features)

Disclosure and Documentation Management (0 Yes /0 Known /11 Possible features)

Compliance Monitoring (0 Yes /0 Known /11 Possible features)

Audit and Reporting (0 Yes /0 Known /11 Possible features)

Integration and Interoperability (0 Yes /0 Known /11 Possible features)

User Access and Permissions (0 Yes /0 Known /11 Possible features)

Data Security and Privacy (0 Yes /0 Known /11 Possible features)

User Experience and Adoption (0 Yes /0 Known /11 Possible features)

Risk Assessment and Management (0 Yes /0 Known /11 Possible features)

Support and Vendor Reliability (0 Yes /0 Known /11 Possible features)

Audit Trail Systems for Compliance and Risk Management

Data Capture & Recordkeeping (0 Yes /0 Known /10 Possible features)

Search, Retrieval & Reporting (0 Yes /0 Known /10 Possible features)

Security & Access Control (0 Yes /0 Known /10 Possible features)

Regulatory Compliance Support (0 Yes /0 Known /10 Possible features)

Integration & Interoperability (0 Yes /0 Known /10 Possible features)

Scalability & Performance (0 Yes /0 Known /10 Possible features)

User Experience & Interface (0 Yes /0 Known /10 Possible features)

Notifications, Alerts & Workflow Automation (0 Yes /0 Known /10 Possible features)

Audit & Investigation Tools (0 Yes /0 Known /10 Possible features)

Customization & Extensibility (0 Yes /0 Known /10 Possible features)

Support, Training & Vendor Reliability (0 Yes /0 Known /10 Possible features)