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AxiomSL ControllerView from Calypso Technology (Adenza)
Data aggregation, validation, and end-to-end automation of global regulatory reporting for fund managers, including support for AIFMD, MiFID II, EMIR, and more.
More about Calypso Technology (Adenza)
Product analysis by function
Regulatory Compliance Systems for Risk & Compliance
Platforms that track regulatory requirements, manage compliance workflows, and document adherence to various financial regulations such as UCITS, AIFMD, MiFID II, SEC rules, and other jurisdictional requirements.
More Regulatory Compliance Systems
More Risk & Compliance ...
Core Compliance Monitoring
(8 Yes /8 Known /10 Possible features)
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Automated Rule Monitoring Automated checks of fund operations against current regulatory rules. |
AxiomSL ControllerView advertises automated regulatory checks and validations as a core part of its platform. | |
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Audit Trail Generation Maintains comprehensive logs of all compliance activities and policy changes. |
Audit trail and full data lineage are highlighted as part of AxiomSL's offering for regulator-ready documentation. | |
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Real-Time Alerts Notifies users instantly when potential compliance breaches occur. |
Real-time alerts for validation errors and completeness/finality issues are part of AxiomSL's automation approach. | |
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Custom Rule Configuration Allows creation and maintenance of firm-specific rules in addition to regulatory ones. |
ControllerView allows for custom business rule configuration to meet specific regulatory and internal needs. | |
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Pre-Trade Compliance Checks Verifies trade compliance prior to execution. |
The solution features pre-trade and post-trade compliance checks for fund reporting. | |
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Post-Trade Compliance Checks Analyzes executed trades for post-factum regulatory compliance. |
Post-trade reconciliation, validation, and exception management are clearly advertised capabilities. | |
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Regulatory Change Updates System is updated with changes and interpretations of relevant regulations. |
Regulatory change management and frequent template updates for regulatory reporting are core product features. | |
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Violation Escalation Workflow Automated workflows for managing responses to potential or actual compliance violations. |
No information available | |
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Exception Management Tools for identifying, documenting, and resolving compliance exceptions. |
No information available | |
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Compliance Dashboard Centralized dashboard summarizing current compliance status and outstanding issues. |
Product provides compliance dashboards and reporting status summarizing current regulatory obligations. |
Reporting & Documentation
(10 Yes /10 Known /10 Possible features)
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Automated Regulatory Reporting Generates and files reports required by relevant authorities (e.g., SEC, ESMA, FCA). |
Automated generation and regulatory reporting for various jurisdictions is the core use case of ControllerView. | |
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Custom Report Generation Flexible tools to create reports tailored to internal or external stakeholder needs. |
Flexible, custom report generation tools for business and regulatory reports are described in product docs. | |
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Scheduled Reporting Automated scheduling and delivery of reports. |
Automated scheduling and distribution of regulatory reports is advertised. | |
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Document Archiving Secure and searchable storage of compliance documents and evidence. |
Document archiving and searchable storage for compliance evidence are standard features. | |
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Self-Service Reporting Allows end-users to generate and customize reports without IT involvement. |
Enables users and teams to generate reports on demand without developer or IT assistance. | |
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Audit-Ready Documentation Organizes and formats documentation for easy retrieval during audits. |
Audit-ready documentation is highlighted for regulator/third-party access during reviews or audits. | |
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Data Export Exports data in a variety of industry-standard formats (e.g., CSV, XML, XBRL). |
Capable of exporting data in industry formats (CSV, XML, etc) for reporting and data sharing. | |
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Workflow Audit Logs Preserves historical records of reporting activities and user access. |
Workflow and access logs are part of audit/control infrastructure. | |
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Customizable Permissions Access to reports and documents controlled by user roles. |
Permissions and access to reporting governed by fine-grained user roles in the platform. | |
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Regulation-Specific Templates Pre-built reporting templates for key regulations (AIFMD, Form PF, MiFID II, etc). |
Provides out-of-the-box templates for major regulations, including AIFMD, MiFID II, EMIR. |
Data Integration & Management
(10 Yes /10 Known /10 Possible features)
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Multi-Source Data Feeds Integrates with custodians, trading systems, market data, and third-party risk services. |
Integration with custodians, market data, prime brokers, and internal legacy systems is a primary differentiator. | |
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Data Normalization Transforms disparate data sets into a common format for analysis. |
Automated data normalization/transformation is a foundation of the aggregation and reporting process. | |
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Real-Time Data Processing Processes incoming data in near real time for the most current insights. |
Real-time or near-real-time processing is available for ingestion, validation and aggregation. | |
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Data Quality Checks Validates incoming data for completeness and accuracy before use. |
Includes automated data quality and completeness checks as part of data validation workflows. | |
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Automated Data Reconciliation Cross-checks transaction and position records to spot discrepancies. |
Ensures reconciliation and exception resolution with source and reference data before reporting. | |
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Bulk Data Upload Supports batch imports for large data sets (e.g., historical records). |
Supports bulk/batch data loads for back reporting and data migration. | |
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API Connectivity Modern API support for seamless integration with other applications. |
API and feed-based connectivity to enterprise, market, and static data sources is frequently highlighted. | |
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Flexible File Import/Export Handles multiple file types for interoperability with legacy systems. |
Supports multiple file formats for flexible conversion and legacy integration. | |
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Data Encryption in Transit Ensures sensitive compliance data is encrypted during network transfers. |
Industry-standard encryption is specified for all data in motion; supports TLS. | |
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Data Encryption at Rest Securely encrypts stored regulatory and compliance information. |
Encryption at rest is standard for regulatory and client data in the system. |
User & Workflow Management
(7 Yes /7 Known /10 Possible features)
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Role-Based Access Control Assigns user permissions based on job function or seniority. |
Role-based access controls are an advertised part of data privacy and permission scheme. | |
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Multi-Factor Authentication Layered security for user login and system access. |
Multi-factor authentication is available for platform access, including SSO integrations. | |
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User Activity Monitoring Tracks and audits user activity to prevent unauthorized changes. |
User activities are monitored and logged to comply with audit and internal policy requirements. | |
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Workflow Automation Automates routine compliance tasks and approval processes. |
Many compliance process flows in AxiomSL are automatable/workflow-based for efficiency. | |
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Delegation & Escalation Automated reassignment of tasks due to absence or escalation due to time-sensitive issues. |
No information available | |
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Task Notifications Automated alerts and to-do reminders for compliance staff. |
Platform incorporates automated reminders, task notifications, and dashboard alerts. | |
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Bulk User Management Efficient onboarding/offboarding and permissions management for multiple users. |
Bulk user provisioning and RBAC controls support easy onboarding/offboarding. | |
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Custom Workflow Builder Admins can configure or adapt workflow steps to fit internal compliance procedures. |
No information available | |
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SLA Tracking Monitors task turnaround against internal and regulatory deadlines. |
No information available | |
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User Audit Trail Logs all actions taken by users for compliance and internal review. |
All user actions are logged for audit, compliance, and review. |
Regulatory Change Management
(4 Yes /4 Known /10 Possible features)
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Regulatory News Feed Automatically imports latest regulatory updates from trusted sources. |
Keeps up-to-date with regulatory news, including change alerts and compliance updates. | |
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Impact Assessment Tools Maps regulatory changes to impacted policies, controls, and business lines. |
No information available | |
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Change Task Assignment Creates and assigns tasks related to implementing regulatory changes. |
No information available | |
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Policy Update Workflow Managed workflows for revising and approving compliance policies. |
No information available | |
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Version Control Tracks changes to compliance manuals and regulatory documents. |
No information available | |
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Change Communication Automated alerts and updates to all users affected by policy changes. |
Automated change alerts and update notifications are included for workflow and regulatory change. | |
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Regulator Correspondence Tracking Stores and manages communication with regulators regarding rule changes. |
No information available | |
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Gap Analysis Tools Identifies and analyzes areas where current processes may be non-compliant with new regulations. |
No information available | |
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Automatic Rulebase Update System automatically updates compliance monitoring based on regulatory changes. |
Automatic update of rules/templates when there are regulatory changes. | |
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Regulatory Calendar Timelines for key regulatory change deadlines and milestones. |
Supports a regulatory calendar function for deadline and milestone management. |
Risk Assessment & Management
(0 Yes /0 Known /10 Possible features)
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Risk Scoring Engine Calculates risk scores based on current regulatory and operational exposure. |
No information available | |
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Risk Heatmaps Visualizes areas of highest compliance and operational risk. |
No information available | |
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Scenario Analysis Assesses impact of hypothetical compliance breaches or regulatory changes. |
No information available | |
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KRI Monitoring Tracks Key Risk Indicators defined within the risk management framework. |
No information available | |
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Automated Risk Mitigation Reminders Notifies responsible parties of required mitigation activities. |
No information available | |
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Incident & Loss Event Logging Captures details of compliance or operational risk events and remediation. |
No information available | |
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Risk Control Library Central repository for standard controls and their effectiveness assessments. |
No information available | |
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Linkage of Controls to Regulations Maps internal controls to regulatory obligations for better gap detection. |
No information available | |
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Risk Mitigation Workflow Structured processes for investigating and closing out identified risks. |
No information available | |
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Periodic Risk Review Scheduling Plans recurring reviews and updates to risk assessments. |
No information available |
Surveillance & Transaction Monitoring
(1 Yes /1 Known /10 Possible features)
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Trade Surveillance Monitors trades for potential market abuse, manipulation, or limit breaches. |
No information available | |
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AML Screening Automated screening for Anti-Money Laundering (AML) flags in fund flows and counterparties. |
No information available | |
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Watchlist & PEP Screening Cross-checks parties against global watchlists and Politically Exposed Person (PEP) databases. |
No information available | |
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Insider Trading Detection Identifies patterns and suspicious activity suggesting insider trading. |
No information available | |
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Employee Personal Trading Monitoring Tracks and reviews personal trades by relevant employees for policy compliance. |
No information available | |
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Threshold and Limit Monitoring Flags trades and positions exceeding predefined compliance limits. |
Threshold and limit monitoring are part of the platform's core validation system to flag anomalies. | |
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Pattern Recognition Machine-learning based detection of unusual or anomalous patterns in transactions. |
No information available | |
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Counterparty Risk Assessment Evaluates compliance risks associated with trade counterparties. |
No information available | |
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Transaction Velocity Monitoring Tracks frequency and volume of transactions. |
No information available | |
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Surveillance Rule Customization Allows user customization of surveillance scenarios and thresholds. |
No information available |
Integration & Connectivity
(8 Yes /8 Known /10 Possible features)
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Portfolio Management System Integration Seamless data import/export with PMS, OMS, or accounting platforms. |
Integration support for PMS, OMS, and accounting is a key advertising point. | |
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Custodian and Prime Broker Integration Direct data feeds from banks and prime brokers for up-to-date positions and transactions. |
Receives direct feeds from custodian and prime brokers for transactional accuracy. | |
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Regulator Portal Submission Direct, automated submission to regulatory portals (e.g., SEC EDGAR). |
Regulator portal submission (automated EDGAR and equivalents) is promoted for regulatory efficiency. | |
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Third-Party API Support Robust API ecosystem for integration with regtech or analytics tools. |
Provides REST APIs and third-party integration points to connect with regtech tools. | |
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SFTP/FTP Data Transfer Secure file transfer for batch data loads and reporting. |
SFTP/FTP batch data transfer is specifically listed for high-volume uploads. | |
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Single Sign-On (SSO) Integration with enterprise SSO solutions for seamless authentication. |
Enterprise SSO is supported (including SAML, OAuth integrations). | |
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Webhook Support Real-time notifications and data pushes to other applications. |
Webhook-style real-time notifications are featured for integration with downstream systems. | |
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Message Queue Connectivity Support for message queue protocols (e.g., Kafka, RabbitMQ) for large-scale events. |
No information available | |
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RESTful & SOAP APIs Modern and legacy API protocol support. |
Supports both RESTful and legacy SOAP APIs for connectivity. | |
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Custom Integration Development Toolkit SDK and documentation for developing custom system connectors. |
No information available |
Usability & User Experience
(8 Yes /8 Known /10 Possible features)
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Intuitive User Interface Modern UI simplifies complex compliance scenarios for all users. |
Modern and intuitive UI is showcased to simplify complex compliance. | |
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Responsive Design Works across desktop, tablet, and mobile devices. |
Responsive web UX for desktop and mobile is referenced in product materials. | |
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Customizable Dashboards Users can tailor home screens to their functional requirements. |
Customizable dashboards are available for different regulatory functions. | |
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Search & Filter Functionality Powerful search and filtering for large compliance datasets. |
Search, filter, and drill-down tools are available throughout the regulatory dataset. | |
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Role-Based Views Interface elements visible or hidden according to user role. |
Role-based display of UI elements per permission profile. | |
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Localization & Multilingual Support Usable by global teams in multiple languages. |
Platform can be localized in multiple languages for international deployment. | |
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Help & Training Resources Contextual help, tutorials, and user guides built into the application. |
Extensive in-app help, documentation, and tutorials available. | |
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Onboarding Wizard Guided setup process for new users or teams. |
No information available | |
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Accessibility Features Support for WCAG, screen readers, and keyboard navigation. |
No information available | |
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Feedback & Support Ticketing Easy method to report issues and request enhancements. |
Support mechanisms for user feedback and ticketing are available via the platform or vendor. |
Security & Privacy
(8 Yes /8 Known /10 Possible features)
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Data Encryption (At Rest and In Transit) AES, TLS, or equivalent encryption for compliance datasets. |
Fully encrypted at rest and in transit using industry standards. | |
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Granular Access Controls Permissions at data, action, and record levels. |
Granular access controls are provided for data, actions, and reporting. | |
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Audit Logging Immutable logs of all system activity. |
All system activities are immutably logged for compliance and security incidents. | |
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Security Incident Notification Alert system for detected security breaches. |
Security incident notifications/alerts are available for suspicious or malicious activity. | |
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Data Retention Controls Configurable settings for how long sensitive information is stored. |
Data retention periods can be managed and audited within the platform. | |
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GDPR/CCPA Compliance Tools Mechanisms to support global data privacy regulations. |
Functionality to address GDPR, CCPA, and similar privacy standards is clearly documented. | |
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User Authentication Options Choice of password, token, or biometric login. |
Variety of user authentication options available, including password, SSO, and token. | |
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Penetration Testing Certification Third-party security testing on a regular basis. |
Regular penetration tests and related certifications are referenced in enterprise documentation. | |
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Advanced Threat Detection AI or signature-based recognition of malicious activity. |
No information available | |
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Data Masking Hides sensitive data when not absolutely necessary for user role. |
No information available |
Scalability & Performance
(6 Yes /6 Known /10 Possible features)
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Concurrent User Support Handles simultaneous logins and usage by multiple compliance staff. |
No information available | |
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Response Time Average system response time under maximum load conditions. |
No information available | |
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High-Volume Data Processing Capable of ingesting and analyzing large sets of transactional data. |
No information available | |
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Elastic Storage Scaling Automatic increase in storage allocation as data grows. |
Storage within AxiomSL is cloud-native and scales automatically as data volumes increase. | |
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Load Balancing Distributes workload efficiently across servers. |
Workloads are distributed across a scalable infrastructure with load balancing for high availability. | |
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Disaster Recovery Ability to recover compliance data and settings after critical failure. |
Enterprise-grade disaster recovery and robust backup mechanisms are available to clients. | |
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Cloud and On-Premise Support Supports both deployment models, as needed by the organization. |
Can be deployed on-premise, in cloud, or in hybrid environments. | |
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Scheduled Downtime Notifications Advanced notice and minimal disruption during system maintenance. |
Users are notified in advance of planned maintenance and downtime. | |
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Redundancy & Failover Backup mechanisms to maintain service during system outages. |
System redundancy and seamless failover are standard in target operating environments. | |
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Uptime Guarantee SLA-based assurance of system availability. |
No information available |
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