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MetricStream Regulatory Compliance Management from MetricStream

Centralized regulatory library, automated regulatory change management, compliance assessments, task automation, reporting, and workflow tools designed for the finance sector.

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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
(9 Yes /9 Known /11 Possible features)

Workflow Automation
(10 Yes /10 Known /11 Possible features)

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

Compliance Monitoring
(2 Yes /2 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)

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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.		MetricStream documentation and case studies confirm support for cross-border and global financial regulation compliance.
Real-Time Regulatory Updates The system provides real-time updates when regulations change.		Product highlights and documentation mention automated regulatory change management, indicating real-time updates on regulation changes.
Custom Rule Mapping Ability to create or modify mappings to custom company-specific compliance policies.		MetricStream allows mapping of custom controls/policies to regulations. Custom rule mapping detailed in workflow and policy management modules.
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.		Documentation mentions the use of AI/NLP for interpreting regulatory changes and summarizing obligations.
Rule Version Tracking Tracks historical versions of regulations for comparison and audit.		System tracks historical versions of regulations for audit and compliance.
Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation.		Exception handling and management of edge case compliance scenarios are referenced in workflow and process automation features.
Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations.		Audit trails for regulatory updates are a core component; referenced in GRC platform overviews.
Regulatory Library Export Capability Ability to export all regulatory content for offline analysis.		Product literature describes export tools for complete regulatory content and reporting.
Integration with Legal Resources Embeds or links to official legal interpretations or legal counsel resources.		Product overview describes links to legal interpretations, guidance notes, and external resources.

Automated Disclosure Generation Automatically generates required client disclosures according to regulatory guidelines.		Automated disclosure/document generation referenced in workflow automation materials.
Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items.		Approval routing is standard in MetricStream’s GRC workflow automation.
Task Assignment Automation Automatically assigns compliance tasks to relevant parties based on roles, locations, or other rules.		Task automation and assignments mentioned in feature set.
Workflow Customization Ability to design and modify custom compliance workflows.		Workflow configuration/customization described in all product materials.
Escalation Triggers Automatically escalates issues or breaches to compliance officers and key stakeholders.		Escalation/notification triggers described in workflow automation.
Compliance Calendar Management Tracks and automates key dates and deadlines for compliance actions.		Compliance calendar and deadline tracking is a supported baseline capability.
Automated Notifications System sends alerts and reminders for upcoming or overdue compliance actions.		Automated reminders and notifications described in product automation.
Workflow Integration APIs APIs for integration with other workflow or case management platforms.		API documentation and integration capabilities listed.
Bulk Action Processing System can process compliance workflows for multiple clients simultaneously.		Bulk action/process capability highlighted for large institutions.
Workflow Audit Logging All automated actions and manual interventions are logged for later review.		Audit logging is a foundational feature in GRC solutions.
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.		Product literature references rich library of disclosure and regulatory templates.
Automated Document Delivery System automatically delivers disclosures and forms to clients and tracks receipt.		Automated document delivery and tracking is stated as a feature.
E-signature Integration Integrated support for e-signatures on compliance documents.		E-signature integrations available per product documentation.
Version Control for Documents Tracks historical versions and updates to compliance documentation.		Version control for documents is specifically referenced.
Secure Storage of Documents All disclosures and supporting documents are stored securely and encrypted.		Secure, encrypted storage is core to enterprise document management offerings.
Document Retention Policy Automation Automatically enforces document retention and deletion policies per regulation.		Document retention policy automation included per product sheets.
Client Portal Access Clients can view/download compliance disclosures via secure web portal.		Client portals for secure access and download mentioned.
Document Searchability Full-text search across all disclosures and compliance documentation.		Document search capability described in documentation management module.
Bulk Document Processing Ability to generate or process documents in bulk for multiple clients.		Bulk processing tools (generation, distribution) described.
Automated Acknowledgement Tracking Automatically tracks client acknowledgement of received disclosures.		Automated tracking of client acknowledgements listed.
Document Sharing Controls Granular controls over who can view, download, or share compliance documents.		Granular document sharing/viewing controls part of content security.

Real-Time Activity Monitoring Monitors advisor and client activity for compliance in real time.		Real-time activity monitoring of both users and clients in compliance workflows noted.
Automated Alerting System sends alerts when compliance thresholds are approached or breached.		Automated compliance alerting included in product summary.
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

MetricStream Regulatory Compliance Management from MetricStream

Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

Regulatory Coverage (9 Yes /9 Known /11 Possible features)

Workflow Automation (10 Yes /10 Known /11 Possible features)

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

Compliance Monitoring (2 Yes /2 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)