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OneSumX for Compliance Program Management from Wolters Kluwer
Automated end-to-end compliance and risk management solution for financial services firms. Includes robust audit trail capabilities, centralizes all compliance data, manages regulatory change, and documentation with full audit history logging.
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
(7 Yes /8 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Official product documentation confirms logging of all client interactions as part of the centralized compliance data repository. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Documentation and marketing materials specify that all actions are time-stamped automatically. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Product supports uploading and associating supporting documentation to compliance and audit entries. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Advisors can update notes with version history maintained, as described in audit trail features. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
The audit trail captures before/after record states, which is cited in case management and version control functions. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
The system provides a tamper-evident log (immutable ledger) compliant with regulatory auditing standards. | |
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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. |
Mass import/export, including legacy migration and reporting, is listed in onboarding and maintenance documentation. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
Not as far as we are aware.* No explicit indication of multimedia (audio/video) storage in audit trails in any product material. |
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. |
Robust advanced search with filtering is a featured capability in compliance reviews. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Customizable exportable reporting is an emphasized product feature. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Audit trail visualization, including timeline history, is highlighted in both product UI screenshots and documentation. | |
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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. |
Saved/scheduled reports are described for compliance workflows and audit preparation. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based access control is standard for audit and compliance modules. | |
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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. |
Bulk extraction support is cited as part of regulatory request compliance. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
Keyword tagging and search are described for record organization and retrieval. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Full-text search includes note and field scanning, as shown in product user guides. |
Security & Access Control
(8 Yes /8 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
Multi-factor authentication and secure login described in security documentation. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Role-based permissions detailed in user/configuration documentation. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Encryption at rest is standard in all OneSumX cloud deployments. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Documentation lists encryption in transit for all network communications. | |
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Audit Log of Access Fully logs which users access which records and when. |
Detailed audit logs of user access, including timestamps, are included for regulatory compliance. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Session timeout is a configurable option in security settings. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
Failed login alerts and notification of suspicious access attempts are standard system features. | |
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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. |
User password policy and rotation requirements are configurable in administrative console. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(9 Yes /9 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Pre-configured regulatory templates (e.g., SOX, MiFID II, Dodd-Frank) are included with OneSumX. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Custom rule engine is documented, allowing creation of tailored compliance triggers and automated alerts. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Central compliance dashboard with audit readiness status is prominent in UI screenshots and product overviews. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
Regulatory template and workflow updates are automatically rolled out in response to major regulatory changes. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automated alerts for exceptions (out-of-policy or incomplete entries) are configurable. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Customizable compliance and regulatory reports are supported. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
E-signature compliance, including audit-quality signature tracking, is available. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Policy and forms repository module is detailed in product offering. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Retention policy automation for compliance is a specifically listed feature. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(8 Yes /8 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
Extensive API support is available for integration and programmatic access. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Integration with core systems (CRM, portfolio management, etc.) is cited. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Email integration, especially for advisor-client communication capture, is available. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Connects to digital document vaults and third-party e-signature providers. | |
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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. |
Webhook/notification capabilities referenced in integration documentation. | |
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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. |
Mobile app access for compliance review and limited entry is available per product sheets. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
Real-time data synchronization is a built-in feature. | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integration development is supported and offered as professional service option. |
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. |
High-availability failover and DR support are core infrastructure capabilities. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Multi-region hosting for data residency and redundancy is supported. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Available as SaaS, private cloud, and on-premises deployments. | |
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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. |
System automatically expands storage as audit volume grows. | |
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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. |
Dashboard is featured as the primary user landing page with compliance summaries. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
UI supports custom views and layouts per user 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. |
Product states compliance with accessibility standards (ADA/WCAG). | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Interface is responsive across devices, as demonstrated in marketing/demo materials. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
Contextual help and hints are embedded throughout the interface. | |
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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
(3 Yes /3 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 are part of compliance workflow automation. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Automated task assignment on audit/compliance events is configurable. | |
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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 updates on audit/compliance record status are available. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(10 Yes /10 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic lockdown for compliance investigations is included in the investigation toolkit. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
System flags and escalates unusual or anomalous compliance patterns. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Activity timelines are automatically generated as part of investigation and audit modules. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
Redaction of exported records is supported natively. | |
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Automated Sampling Generates random record samples for compliance spot checks. |
Automated sampling for compliance spot checks is available. | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Case management for compliance investigations is available. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Ability to link evidence to investigation records is available, per UI demonstrations. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
System flags incomplete or inactive records for compliance staff. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
Legal hold and preservation of exported records is supported. | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
Chain-of-custody tracking is included in the investigation toolkit. |
Customization & Extensibility
(7 Yes /7 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom field creation is supported to tailor the audit schema. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Drag-and-drop template/form builder is available for custom data collection. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
Developers can script custom actions triggered by audit or compliance events. | |
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Custom Branding Upload logos, firm colors, and themes. |
Custom branding with firm logo/colors is supported. | |
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Localization Support Adapt layouts and content for global offices. |
No information available | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
Plug-in/module extension supported for solution 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. |
Custom user roles/types can be defined and managed. | |
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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. |
Extensive developer documentation, API guides, and code samples are available on the vendor website. |
Support, Training & Vendor Reliability
(8 Yes /8 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
24/7 product and technical support coverage is advertised. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Guided onboarding process with training is standard. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Detailed online documentation and searchable knowledge base are available. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Regular live webinars and scheduled training sessions are mentioned on the product site. | |
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Certification Programs Official user or admin certification offered. |
Certification program for administrators and compliance officers is featured. | |
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Multi-Language Support Support and help materials available in multiple languages. |
No information available | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Release notes and product roadmap updates are regularly published. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Downtime, maintenance, and outage communication is part of their SLA and support process. | |
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Customer Success Manager Dedicated success representative for large accounts. |
Dedicated customer success managers are assigned for larger clients. | |
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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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