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ACL Analytics from ACL Services
Robust data analytics tools for continuous auditing, risk assessments, and comprehensive audit trails to facilitate compliance monitoring.
Product analysis by function
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.
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Data Capture & Recordkeeping
(8 Yes /8 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
ACL Analytics logs interactions captured in audit trails for compliance monitoring and continuous auditing, which suggests comprehensive interaction logging. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Audit logs in ACL Analytics typically include automatic timestamping of all data entries and changes. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Product supports attaching documents and evidence to audit records as part of audit trails. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Allows users to add/update comments and notes to audit records; maintains versioning for audit integrity. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Audit trails retain change log and version history for every modification within the system. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
System ensures audit trails cannot be altered after creation, supporting immutable ledger requirement. | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Supports bulk data import/export for migration, integration, and backup, as documented in product materials. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
Audit trails can include multimedia evidence (audio, video) through document attachment capabilities. |
Search, Retrieval & Reporting
(8 Yes /8 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Provides advanced querying and filtering to find records based on multiple parameters. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Supports customizable reporting for audits and compliance investigations. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Product offers visualization tools for audit trails, allowing timeline views and relationship mapping. | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Supports saving and scheduling of custom and regulatory required reports. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Supports role-based access controls and report/data permissions according to user profiles. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Facilitates historical/bulk export of audit trails for regulatory and internal purposes. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
Supports advanced search/tagging for record retrieval, including keyword tagging. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Full-text search is available for documents and notes, as shown in product features. |
Security & Access Control
(8 Yes /8 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
Secure authentication, including multifactor, is supported for access control. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Granular role-based security permissions control who can access/edit/export audit records. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Industry-standard encryption methods ensure all data at rest is secure. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Data is protected using encryption in transit (TLS/SSL), as per compliance standards. | |
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Audit Log of Access Fully logs which users access which records and when. |
System logs access events, maintaining user audit logs for compliance and investigations. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Supports automatic session timeouts for enhanced security. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
Alerts are generated for failed logins and security related events. | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
Supports configuration of password policies as part of enterprise security. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(6 Yes /6 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Regulatory compliance templates available for financial industry standards. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Allows user-defined rules and alerts for custom compliance triggers. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Dashboards summarize compliance/audit status across the organization. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
No information available | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automated exception alerts are a key feature in continuous auditing systems. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Compliance reporting is highly flexible and supports local/global requirements. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
No information available | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Centralized location for policy templates and forms present in audit/compliance systems. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
No information available | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(5 Yes /5 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
APIs available for integration and programmatic data access. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Pre-built connectors offered for common financial systems (CRM/ERP etc.). | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Can connect and ingest data directly from organizational email systems. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Integrates with document management and e-signature platforms. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
No information available | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
No information available | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
No information available | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
No information available | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Supports creation of custom connectors as needed for proprietary integrations. |
Scalability & Performance
(4 Yes /4 Known /10 Possible features)
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Disaster recovery and failover is described as a core security feature in product materials. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Supports hosting and compliance for multiple regions/jurisdictions. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Typically provides both cloud and on-premises deployment options per user case studies and documentation. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Storage is scalable to accommodate growing audit volumes (cloud and/or enterprise server). | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
No information available | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
No information available |
User Experience & Interface
(5 Yes /5 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Interface is considered user friendly with dashboard summaries of audit activity. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
Users can customize views and layouts according to preference. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
No information available | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
Enterprise software generally aims for accessibility, though specific level of ADA/WCAG compliance is not directly stated. | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Web-based and mobile web app interface supports mobile responsiveness. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
Comprehensive online help and in-app guidance is available. | |
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Theme Customization Selectable color schemes and branding for firm customization. |
No information available | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
No information available |
Notifications, Alerts & Workflow Automation
(2 Yes /2 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom alert triggers can be configured as part of custom rule engine. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
No information available | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
No information available | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
No information available | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
No information available | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
No information available | |
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Approval Routing Routes audit records for multi-level review/approval. |
. | No information available |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Real-time dashboards and alerts provide immediate audit data status updates. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(8 Yes /8 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
ACL Analytics can flag, lock, and secure records for legal/forensic investigations. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
System supports anomaly detection via robust analytics for risk assessment. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Chronological activity reconstructions are a feature of audit trail analytics and reporting. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
Supports redaction when exporting records or reports for investigations. | |
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Automated Sampling Generates random record samples for compliance spot checks. |
Automated sampling tools for risk-based audit checks are built in. | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Case management modules available for organizing investigations. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
System allows linking of supporting evidence to audit/investigation cases. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
Flagging of incomplete or inactive records is part of compliance workflow. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
No information available | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
No information available |
Customization & Extensibility
(6 Yes /6 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom fields can be defined within audit schemas for tailored data capture. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Drag-and-drop interface for creating custom forms/templates is present. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
No information available | |
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Custom Branding Upload logos, firm colors, and themes. |
No information available | |
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Localization Support Adapt layouts and content for global offices. |
Supports localization and adaptation for international offices. | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
Product architecture allows plug-in or module extensibility. | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
No information available | |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
User roles and profiles can be flexibly defined beyond defaults. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
Comprehensive developer resources and documentation are available. |
Support, Training & Vendor Reliability
(7 Yes /7 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
24/7 support described as available for enterprise clients. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Onboarding assistance is offered as a standard part of implementation. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Extensive online help and knowledge base is available. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live and recorded training sessions are regularly scheduled. | |
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Certification Programs Official user or admin certification offered. |
No information available | |
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Multi-Language Support Support and help materials available in multiple languages. |
Multilanguage online support/help materials are available. | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Detailed release notes and roadmap communication are available for users. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Outage/maintenance notifications and protocols are published. | |
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Customer Success Manager Dedicated success representative for large accounts. |
No information available | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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