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ComplySci Platform from ComplySci

Employee compliance management, personal trading monitoring, gifts and entertainment tracking, outside business activities tracking, compliance calendars, and code of ethics management for financial advisors.

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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)

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...

Advisor Activity Monitoring
(0 Yes /0 Known /10 Possible features)

Client Communication Supervision
(0 Yes /0 Known /10 Possible features)

Trade and Transaction Supervision
(0 Yes /0 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(0 Yes /0 Known /10 Possible features)

Policy Management
(0 Yes /0 Known /10 Possible features)

Surveillance & Alerting
(0 Yes /0 Known /10 Possible features)

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

Reporting & Analytics
(0 Yes /0 Known /10 Possible features)

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

System Security & Privacy Controls
(0 Yes /0 Known /10 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)

Policy Management Platforms for Compliance

Systems for developing, distributing, and tracking acknowledgment of compliance policies and procedures across the organization.
More Policy Management Platforms More Compliance ...

Policy Creation & Editing
(0 Yes /0 Known /12 Possible features)

Policy Distribution & Communication
(0 Yes /0 Known /10 Possible features)

Acknowledgment & Attestation Tracking
(0 Yes /0 Known /9 Possible features)

Audit & Reporting
(0 Yes /0 Known /9 Possible features)

User Management & Access Control
(0 Yes /0 Known /9 Possible features)

Integrations & APIs
(0 Yes /0 Known /8 Possible features)

Security & Data Protection
(0 Yes /0 Known /8 Possible features)

Search & Retrieval
(0 Yes /0 Known /7 Possible features)

Mobile & Remote Access
(0 Yes /0 Known /7 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /7 Possible features)

Scalability & Performance
(0 Yes /0 Known /7 Possible features)

Audit Trail and Record-Keeping Systems for Compliance

Solutions that maintain comprehensive records of all transactions, client interactions, and compliance activities for regulatory examinations and investigations.
More Audit Trail and Record-Keeping Systems More Compliance ...

Data Capture & Transaction Logging
(0 Yes /0 Known /15 Possible features)

Access Controls & Security
(0 Yes /0 Known /15 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /15 Possible features)

Scalability & Performance
(0 Yes /0 Known /15 Possible features)

Reporting & Analytics
(0 Yes /0 Known /15 Possible features)

Data Integrity & Authenticity
(0 Yes /0 Known /15 Possible features)

Audit Retrieval & Search
(0 Yes /0 Known /15 Possible features)

Client Communication & Interaction Logging
(0 Yes /0 Known /15 Possible features)

User Experience & Administration
(0 Yes /0 Known /15 Possible features)

Integration & Interoperability
(0 Yes /0 Known /15 Possible features)

Disaster Recovery & Business Continuity
(0 Yes /0 Known /15 Possible features)

Audit Trail Extensibility & Customization
(0 Yes /0 Known /15 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

Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		No information available
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		No information available
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		No information available
Session Recording Records user sessions for playback and detailed analysis.		No information available
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements.		No information available
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		No information available
User Access Control Restricts access to sensitive actions and data based on user roles.		No information available
Time-to-Detection Average time between non-compliant activity and system detection.		No information available
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once.		No information available
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring.		No information available

Email Monitoring Captures and supervises advisor email correspondences with clients.		No information available
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		No information available
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		No information available
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		No information available
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		No information available
Retention Period Customization Allows firms to configure how long communications are stored.		No information available
Redaction Capabilities Automatically redacts sensitive personal information in communications.		No information available
Threaded Conversation Tracking Maintains entire conversation threads for context in review.		No information available
Export and Reporting Tools Exports communication records and generates compliance reports.		No information available

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		No information available
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		No information available
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		No information available
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		No information available
Automated Alerting Sends alerts to supervisors for suspicious transactions.		No information available
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		No information available
Case Management Integration Links trade exceptions to investigation workflows.		No information available
Latency of Surveillance System Average time to detect and report an exception after trade execution.		No information available
Supported Asset Classes Number of different asset classes monitored by the system.		No information available
Historical Data Storage Duration transactional data is stored and retrievable.		No information available

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		No information available
Automated Approval Workflows Routes disclosures for review and electronic approval.		No information available
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		No information available
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		No information available
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries.		No information available
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure.		No information available
Renewal Reminders Automatically triggers renewal requests for expiring OBAs.		No information available
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		No information available
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow.		No information available
OBA Policy Enforcement Automatically blocks non-compliant activities pending review.		No information available

Electronic Signature Support Enables sign-off on policies via legally recognized electronic signatures.		No information available
Time-Stamped Attestation Records the exact date and time of acknowledgment for each user.		No information available
One-Click Acknowledgment Simple interface for recipients to attest to reading and understanding policies.		No information available
Quiz & Comprehension Checks Requires recipients to answer questions or complete a quiz before acknowledging.		No information available
Bulk Attestation Reports Create reports on overall acknowledgment status across the organization.		No information available
Manager Override/Acknowledge for Teams Managers can acknowledge policies on behalf of absent team members.		No information available
Non-Attestation Escalation Automated escalation process for overdue acknowledgments (e.g., to supervisors).		No information available
Minimum Required Question Score Minimum passing score on quizzes for acknowledgment to count.		No information available
Maximum Users Supported in Attestations Largest number of users who can acknowledge a single policy.		No information available

Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository.		No information available
Policy Version Control Tracks and archives all historical versions of each policy document.		No information available
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		No information available
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		No information available
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies.		No information available
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams.		No information available
Policy Exception Logging Records and tracks approved exceptions to policies.		No information available
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		No information available
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		No information available
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		No information available

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		No information available
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		No information available
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		No information available
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues.		No information available
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria.		No information available
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		No information available
Average Alert Response Time Median time between alert creation and first review by a supervisor.		No information available
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review.		No information available
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts.		No information available
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure.		No information available

Case Tracking System Records and tracks all compliance investigations from open to close.		No information available
Document and Evidence Upload Allows inclusion of files and commentary in case records.		No information available
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		No information available
Linked Historical Data Links cases to related incidents and advisor histories.		No information available
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		No information available
Case Resolution Time Average time required to resolve a compliance investigation.		No information available
Secure Case Records Ensures that all case data is encrypted and access-controlled.		No information available
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		No information available
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		No information available
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows.		No information available

Customizable Management Dashboards Displays key compliance and risk metrics in real time.		No information available
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		No information available
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		No information available
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		No information available
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		No information available
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		No information available
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		No information available
Number of Supported Report Types Total types of pre-built or custom report formats available.		No information available
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis.		No information available
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		No information available

Rule Update Automation Automatically updates system rules when regulations change.		No information available
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province.		No information available
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		No information available
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		No information available
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		No information available
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		No information available
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		No information available
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		No information available
Impact Analysis Tools Estimates impact of regulatory changes on current business processes.		No information available
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment.		No information available

Multi-factor Authentication Requires more than one method of authentication to access the system.		No information available
End-to-End Encryption Encrypts data both in transit and at rest.		No information available
Role-based Access Management Only authorized users can access specific data and functions.		No information available
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		No information available
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		No information available
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		No information available
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		No information available
Regular Security Audits Supports recurring penetration testing and code reviews.		No information available
Session Timeout Policy Defines max allowed inactive time before user is logged out.		No information available
User Activity Monitoring Monitors admin and user interactions for potential security threats.		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

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Financial Technology Year

ComplySci Platform from ComplySci

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)

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (0 Yes /0 Known /10 Possible features)

Client Communication Supervision (0 Yes /0 Known /10 Possible features)

Trade and Transaction Supervision (0 Yes /0 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (0 Yes /0 Known /10 Possible features)

Policy Management (0 Yes /0 Known /10 Possible features)

Surveillance & Alerting (0 Yes /0 Known /10 Possible features)

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

Reporting & Analytics (0 Yes /0 Known /10 Possible features)

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

System Security & Privacy Controls (0 Yes /0 Known /10 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)