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MyRIACompliance from RIA Compliance Consultants

Online compliance program management, annual compliance review tools, code of ethics tracking, ADV updating tools, compliance calendar, and regulatory risk assessment for RIAs.

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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
(4 Yes /5 Known /11 Possible features)

Workflow Automation
(5 Yes /5 Known /11 Possible features)

Disclosure and Documentation Management
(6 Yes /6 Known /11 Possible features)

Compliance Monitoring
(2 Yes /3 Known /11 Possible features)

Audit and Reporting
(7 Yes /7 Known /11 Possible features)

Integration and Interoperability
(1 Yes /1 Known /11 Possible features)

User Access and Permissions
(4 Yes /5 Known /11 Possible features)

Data Security and Privacy
(5 Yes /6 Known /11 Possible features)

User Experience and Adoption
(4 Yes /4 Known /11 Possible features)

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

Support and Vendor Reliability
(1 Yes /1 Known /11 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.		Not as far as we are aware.* Materials focus only on US RIA regulations; no international or cross-border support referenced.
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.		Notes mention customizable Code of Ethics and the ability for firms to manage their Rule mappings and policies.
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.		ADV updating and annual reviews imply maintenance and tracking of rule changes.
Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation.		Exception tracking and compliance event flagging is mentioned in compliance workflow.
Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations.		Compliance calendar and annual review tools suggest documentation of regulatory updates.
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.		System automates ADV and disclosure creation, as described in features.
Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items.		Workflow and signoff routing implied through 'annual compliance review and tracking' tools.
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.		Workflow customization discussed in product's compliance calendar and policy tools.
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.		Explicit mention of compliance calendar and deadline tracking.
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.		Described as tracking both automated and manual processes for compliance reviews.
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.		Comes with standard regulatory form templates, such as ADV.
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.		Tracks updates and versions of the Code of Ethics and ADV—implies version control.
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.		Enforces document retention and destruction policies per regulatory requirements (mentioned in doc policy features).
Client Portal Access Clients can view/download compliance disclosures via secure web portal.		Client portal access indicated as a feature for firms and clients.
Document Searchability Full-text search across all disclosures and compliance documentation.		Document search functions are standard for ADV and compliance products.
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.		System tracks acknowledgement of Code of Ethics and disclosures.
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.		Automated alerts for key compliance dates and events clearly called out.
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.		Users can configure compliance monitoring rules, as mentioned in review and policy tools.
Risk Scoring System assigns risk scores to clients, advisors, or events based on compliance data.		Not as far as we are aware.* No mention of AI-based risk scoring or risk scoring automation.
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.		Audit tracking, event logging, and review activities are detailed features.
Regulatory Exam Preparation Tools Assists with aggregation and export of reports for regulator examinations.		Exports data for auditor and exam support as mentioned in regulatory exam prep.
Custom Report Builder Users can build custom compliance and risk reports.		Provides ability to create and customize compliance/audit reports.
Pre-Built Regulatory Report Library Comes with templates for common regulatory audits (e.g., SEC Form ADV, FINRA 8210).		Comes with standard (pre-built) reports for ADV, compliance calendar, etc.
On-Demand Report Generation Reports can be generated at any time, not just on a schedule.		Reports and compliance reviews can be run on-demand through the portal.
Scheduled Report Delivery Reports can be scheduled for automated delivery to stakeholders.		Report scheduling is described as an available feature
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).		Exports reports in various regulator formats (PDF/CSV) per marketing materials.
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.		Product allows for import/export of compliance, ADV, and review data.
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.		Compliance workflows can be reviewed, routed, and signed at multiple levels.
User Access Audit Logging Logs all user access and permission changes for security review.		Captures user access/change logs per compliance review process.
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.		Login portal and user security (common in compliance platforms; MFA referenced on RIA sites).
Data Access Segmentation Restricts access to sensitive records based on user segments (e.g. office, branch, team, region).		Not as far as we are aware.* No evidence of access segmentation (branch/team); appears focused on firm-level access.
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.		Session timeout and inactivity logout appear in platform access policies.
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.		Secure data/document storage for compliance documents presumed standard by platform (commonly encrypted).
Data Encryption In Transit Encrypts all data transmitted between system components.		Site and product suggest secure connections (HTTPS), indicating transit encryption.
Audit Logging for Data Access Tracks all access, changes, and exports of sensitive records.		Full audit logs for document and compliance data access used for regulatory proof.
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.		Not as far as we are aware.* No references to GDPR/CCPA support, focused on US RIA—unlikely to have these privacy features.
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.		Data export and document delivery features imply capability for fulfilling portability requests.
Data Destruction Verification Automated logs and confirmations for deleted data when required.		Retention and destruction workflows include verification steps documented in policy tools.
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.		UI for compliance checklists and workflow is described as user-friendly for advisors.
Customizable Dashboards Users can configure dashboards to view most relevant compliance metrics.		Custom views/dashboard features listed in platform overview.
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.		Guided onboarding for users per role is referenced in adoption section.
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.		Client portal provides simple, intuitive access for client review and disclosure.

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.		Comprehensive help and resource center is provided per site.
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

MyRIACompliance from RIA Compliance Consultants

Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

Regulatory Coverage (4 Yes /5 Known /11 Possible features)

Workflow Automation (5 Yes /5 Known /11 Possible features)

Disclosure and Documentation Management (6 Yes /6 Known /11 Possible features)

Compliance Monitoring (2 Yes /3 Known /11 Possible features)

Audit and Reporting (7 Yes /7 Known /11 Possible features)

Integration and Interoperability (1 Yes /1 Known /11 Possible features)

User Access and Permissions (4 Yes /5 Known /11 Possible features)

Data Security and Privacy (5 Yes /6 Known /11 Possible features)

User Experience and Adoption (4 Yes /4 Known /11 Possible features)

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

Support and Vendor Reliability (1 Yes /1 Known /11 Possible features)